SIE Practice Test 3
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Question 1 of 10
1. Question
The Federal Reserve Board (FRB) has functions including:
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Question 2 of 10
2. Question
Nationwide just wrote an unsecured promise to pay the principal of its loan without any pledge of property. Which best describes the corporate debt security that they have?
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Question 3 of 10
3. Question
An investor is long 1 January 15 call at 7. What is the breakeven point?
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Question 4 of 10
4. Question
If an investor pays an issuer a set amount of money in a lump sum with a guaranteed set sum at a later date, which type of investment are they exercising?
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Question 5 of 10
5. Question
Rachel’s mother is 15 years into retirement and is quickly running out of money. It has Rachel thinking that she needs to invest in something that can provide her a mortality guarantee. She is extremely risk-averse and wants to know which of the following is best suited for her needs?
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Question 6 of 10
6. Question
Which class share typically has a 12b-1 fee?
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Question 7 of 10
7. Question
A $5 million company is sending a written notice out to its 40 investors in regards to its FINRA mandates. Which form of communication is this best considered?
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Question 8 of 10
8. Question
Dani has been convicted of insider trading causing $8 million worth of damages and is expected to be fined $3 million and sentenced to 12 years in jail. She worked for a BD. What is the maximum her firm can be fined?
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Question 9 of 10
9. Question
When is it not required to provide notification to the trusted contact person or authorized parties that a temporary hold and investigation has been initiated on an account?
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Question 10 of 10
10. Question
Which of the following arbitration is correct?
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