SIE Flashcards

Decks in this Class (23):

• Knowledge Of Capital Markets

  Knowledge Of Capital Markets

  Sample Cards:

  a negotiable instrument issued by a us b,

  the price a seller is willing to accept,

  the price a buyer is willing to pay for
  16 Cards
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• Knowledge Of Capital Markets

  Knowledge of Capital Markets

  Sample Cards:

  a large trade or order equal to 10 000 s,

  an electronic system that reports the la,

  the highest price a buyer will pay for a
  10 Cards
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• Knowledge Of Capital Markets

  Knowledge of Capital Markets

  Sample Cards:

  the gradual reduction in the value of an,

  a firm that effects securities transacti,

  a security that is backed by a specific
  11 Cards
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• Understanding Products And Their Risks

  Understanding Products And Their Risks

  Sample Cards:

  price at which a convertible bond or oth,

  formula that determines the number of sh,

  unsecured bonds backed only by the gener
  14 Cards
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• Understaning Products And Their Risks 2

  Understaning Products And Their Risks 2

  Sample Cards:

  from latin for according to value a tax,

  securities issued only as electronic rec,

  a bond that can be redeemed or paid off
  9 Cards
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• Understanding Products And Their Risk 3

  Understanding Products And Their Risk 3

  Sample Cards:

  pessimistic market sentiment characteriz,

  optimistic market sentiment characterize,

  a financial contract with a value that i
  14 Cards
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• Understanding Products And Their Risks 4

  Understanding Products And Their Risks 4

  Sample Cards:

  income after all taxes are deducted,

  not subject to an obligation,

  the ease with which an asset can be conv
  7 Cards
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• Understanding Trading Customer Accounts

  Understanding Trading, Customer Accounts And Prohibited Activities

  Sample Cards:

  a trader without inside information who,

  the original purchase price of a securit,

  the feeling or tone of the market the pr
  14 Cards
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• Overview Of The Regulatory Framework

  Overview of The Regulatory Framework

  Sample Cards:

  a faster and less expensive alternative,

  the misappropriation of funds by someone,

  a fee paid to someone who acts as an int
  9 Cards
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• Regulatory Entities Agencies And Market

  Regulatory Entities, Agencies and Market Participants Quiz

  Sample Cards:

  if a cpa also provides investment advice,

  who obtains the cusip for a municipal bo,

  all of the following are considered self
  41 Cards
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• Types Of Markets And Offerings Quiz

  Types Of Markets And Offerings Quiz

  Sample Cards:

  a guaranteed bond is one that is guarant,

  after a company has streamlined its oper,

  jack owns a small manufacturers game com
  56 Cards
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• Economic Factors Quiz

  Economic Factors Quiz

  Sample Cards:

  who approves the fiscal policy of the un,

  the theory that reducing taxes and limit,

  which best describe the federal funds ra
  54 Cards
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• Equity Securities Quiz

  Equity Securities Quiz

  Sample Cards:

  an american investor that would like to,

  a corporation has issued 10 million shar,

  a shareholder owns 200 shares of stock w
  42 Cards
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• Debt Instruments Quiz

  Debt Instruments Quiz

  Sample Cards:

  a municipality has issued a double barre,

  which of the following statements is tru,

  on a discount bond which of the followin
  49 Cards
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• Options And Variable Products Quiz

  Options And Variable Products Quiz

  Sample Cards:

  unless instructed to the contrary the op,

  what is the total premium for the follow,

  your client has a portfolio of treasury
  67 Cards
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• Investment Companies Quiz

  Investment Companies Quiz

  Sample Cards:

  the average investor has limited assets,

  which of the following investments retur,

  which of the following is a characterist
  70 Cards
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• Municipal Fund Securities Quiz

  Municipal Fund Securities Quiz

  Sample Cards:

  the syndicator of a limited partnership,

  xyz limited partnership is seeking to ro,

  what should an investor consider before
  28 Cards
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• Trading Settlement And Corporate Actions

  Trading Settlement, And Corporate Actions Quiz

  Sample Cards:

  internal procedures which limit and cont,

  the liquidity of an investment is best d,

  which of the following statements is cor
  54 Cards
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• Customer Accounts And Compliance Conside

  Customer Accounts And Compliance Consideration Quiz

  Sample Cards:

  an investment adviser representative iar,

  what is the annual exclusion amount for,

  which of the following is true regarding
  72 Cards
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• Test 1

  Test 1

  Sample Cards:

  all of the following apply to a red herr,

  which of the following statements is tru,

  the msrbs anti money laundering rules re
  33 Cards
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• Test 2

  Test 2

  Sample Cards:

  realized appreciation is,

  a legal entity that offers securities to,

  the fed fund rate is the interest rate t
  32 Cards
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• Test 3

  Test 3

  Sample Cards:

  which of the following are issued with a,

  some securities are exempt from the regi,

  which of the following is true regarding
  33 Cards
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• Test 4

  Test 4

  Sample Cards:

  terry has a client penelope who wants te,

  with regard to sales breakpoints any sch,

  the holder of a call option on a t bond
  27 Cards
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