SIE Tutoring Questions

As part of our SIE Tutoring process, we try to help students Pass the SIE Exam first try.   We can also encourage you to work harder and teach you how to be a better test taker.  

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We have created lots of practice questions for the SIE Exam and other exams.  Here are examples of the SIE Exam Questions:

 

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Arrange the following in priority of claim in a corporate liquidation:

A) Common stock, preferred stock, unsecured debt and Secured Debt

B) Secured Debt, preferred stock, unsecured debt and common stock

C) Unsecured debt, secured debt, common stock and preferred stock

D) Secured debt, unsecured debt, preferred stock and common stock         

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A Corporation that has short term funding needs would MOST LIKELY issue which of the following?

A) Treasury Bills

B) Commercial Paper

C) Repurchase Agreements

D) Debentures

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Which of the following is true regarding warrants?
A)    Warrants are normally issued as sweeteners in bond deals and. The exercise price of a warrant is set at a discount to the stock’s current stock price
B)    Warrants are long term and the exercise price of a warrant is set at a discount to the stock’s current stock price
C)    Warrants are normally issued as sweeteners in bond deals and. The exercise price of a warrant is set at a premium to the stock’s current stock price
D)    Warrants are short term and the exercise price of a warrant is set at a premium to the stock’s current stock price

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34) Which of the following would be associated with an open end fund?
A) Purchased at the public offering price plus a sales charge
B) Capitalization is not fixed
C) Can be purchased on margin
D) Can be purchased at a discount from its net asset value

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58.  A 49 year old unmarried person earns $90,000 per year and is covered by his or her employer’s retirement plan.  What is the maximum the customer can contribute to a traditional IRA without incurring a tax penalty?
 

A. 0
B. The lesser of $6,000 and 100% of earned income
C. The lesser of $7,000 and 100% of earned income
D. The lesser of $12,000 and 100% of earned income

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