SIE 試験問題を無料オンラインアクセス

Which of the following is a reportable obligation with respect to an individual ' s Form U4?

• A.A speeding ticket
• B.A gambling-related misdemeanor charge
• C.A change of residential address
• D.A change of business telephone number

Which of the following securities entitles the holder to exercise control of the company?

• A.Corporate bond
• B.Common stock
• C.Convertible bond
• D.Preferred stock

Which of the following statements is true regarding the difference in treatment between common stock and preferred stock?

• A.Common stock is a lower priority compared to preferred stock under a bankruptcy proceeding.
• B.Common stock and preferred stock are treated the same under a bankruptcy proceeding.
• C.Common stock and preferred stock are treated the same when it comes to payment of dividends.
• D.Common stock dividend payment is treated as a higher priority over that of preferred stock.

A municipal bond is quoted at 102-7/8. What amount should an investor expect to pay for 100 of these bonds?

• A.$10,287.50
• B.$10,278.00
• C.$102,875.00
• D.$102,780.00

If an investor is bullish on ABC, which of the following actions will he most likely take?

• A.Sell ABC calls
• B.Sell ABC stock short
• C.Sell ABC stock
• D.Sell ABC puts