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SIE Exam Study Guide Final Exam

Free Practice Test Instructions:

Choose your answer to the question and click 'Continue' to see how you did. Then click 'Next Question' to answer the next question. When you have completed the free practice test, click 'View Results' to see your results. Good luck!

Question 1 1. One type of information shared with stockholders is _________, which provides information needed for elections and decisions requiring a vote.

Question 2 2. The rules in support of the Securities Exchange Act of 1934 _______________.

Question 3 3. Which of the following statements is FALSE regarding the discount rate?

Question 4 4. What's the formula for a lender to set it's nominal interest rate?

Question 5 5. What are the two types of risk that exist in the stock market?

Question 6 6. In the Great Recession of 2008, how much did the stock market drop?

Question 7 7. What is NOT a characteristic of a 529 plan?

Question 8 8. Which of the following is a characteristic of a custodial account?

Question 9 9. What are some of the objectives of the Fed?

Question 10 10. Why does the Federal Reserve require commercial banks to maintain reserves with them?

Question 11 11. What is the first step in business continuity planning?

Question 12 12. Which is NOT a possible example of business planning for a disaster?

Question 13 13. How is a closed-end fund priced?

Question 14 14. Which of the following is an advantage to an annuity company for offering variable annuities?

Question 15 15. The BEST definition of money laundering is:

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SIE Exam Study Guide Final Free Practice Test Instructions

Choose your answer to the question and click 'Continue' to see how you did. Then click 'Next Question' to answer the next question. When you have completed the free practice test, click 'View Results' to see your results. Good luck!

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