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SERIES 99 EXAM 2024 WITH 100% ACCURATE SOLUTIONS
SERIES 99 EXAM 2024 WITH 100% ACCURATE SOLUTIONS 
 
 
a patterned dat trader is defined as an individual who trades no less than __________________. - correct answer four or more times in a five day period 
 
what does specially designated nationals (SDNs) refer to? - correct answer a list of individuals and companies that US people are prohibited from dealing with 
 
check kitting is best defined as? - correct answer writing a series of checks in an attempt to hide insufficient funds 
 
deliver...
- Exam (elaborations)
- • 4 pages •
SERIES 99 EXAM 2024 WITH 100% ACCURATE SOLUTIONS 
 
 
a patterned dat trader is defined as an individual who trades no less than __________________. - correct answer four or more times in a five day period 
 
what does specially designated nationals (SDNs) refer to? - correct answer a list of individuals and companies that US people are prohibited from dealing with 
 
check kitting is best defined as? - correct answer writing a series of checks in an attempt to hide insufficient funds 
 
deliver...
SERIES 99 FINAL EXAM 2024 WITH 100% CORRECT ANSWERS
SERIES 99 FINAL EXAM 2024 WITH 100% CORRECT ANSWERS 
 
 
 
The agreement that authorizes a broker-dealer to pledge a customer's margin securities as collateral for a loan from a bank to the broker-dealer is called: 
 
[A] A credit agreement 
[B] A loan consent agreement 
[C] A hypothecation agreement 
[D] A joint account agreement - correct answer c 
 
Which of the following provides a neutral and confidential forum for member firms and their employees or public investors to voice concerns abo...
- Exam (elaborations)
- • 85 pages •
SERIES 99 FINAL EXAM 2024 WITH 100% CORRECT ANSWERS 
 
 
 
The agreement that authorizes a broker-dealer to pledge a customer's margin securities as collateral for a loan from a bank to the broker-dealer is called: 
 
[A] A credit agreement 
[B] A loan consent agreement 
[C] A hypothecation agreement 
[D] A joint account agreement - correct answer c 
 
Which of the following provides a neutral and confidential forum for member firms and their employees or public investors to voice concerns abo...
U.S. HISTORY STAAR EXAM 2024 WITH 100% ACCURATE SOLUTIONS
U.S. HISTORY STAAR EXAM 2024 WITH 100% ACCURATE SOLUTIONS 
 
 
What is the first amendment? - correct answer Freedom of speech,press,assembly,petition,and religon 
 
Second amendment? - correct answer Right to bear arms 
 
Third amendment? - correct answer No quartering of soliders in people's houses. 
 
Fourth amendment? - correct answer No searches and seizures without warrant 
 
Fifth amendment? - correct answer "I pled the fifth". Certain legal procedures must be carried out before a pers...
- Exam (elaborations)
- • 10 pages •
U.S. HISTORY STAAR EXAM 2024 WITH 100% ACCURATE SOLUTIONS 
 
 
What is the first amendment? - correct answer Freedom of speech,press,assembly,petition,and religon 
 
Second amendment? - correct answer Right to bear arms 
 
Third amendment? - correct answer No quartering of soliders in people's houses. 
 
Fourth amendment? - correct answer No searches and seizures without warrant 
 
Fifth amendment? - correct answer "I pled the fifth". Certain legal procedures must be carried out before a pers...
FINRA EXAM 2024 WITH 100% ACCURATE SOLUTIONS
FINRA EXAM 2024 WITH 100% ACCURATE SOLUTIONS 
 
 
What is the purpose of the SIE exam? - correct answer To assess a candidates knowledge of basic securities industry information such as types of products and their risks 
 
What is covered on the SIE exam? - correct answer Capital markets, products and their risks, trading, customer accounts, prohibited activities, and an overview of regulatory framework 
 
What does the SIE exam allow you to do? - correct answer Nothing other than allow you to t...
- Exam (elaborations)
- • 2 pages •
FINRA EXAM 2024 WITH 100% ACCURATE SOLUTIONS 
 
 
What is the purpose of the SIE exam? - correct answer To assess a candidates knowledge of basic securities industry information such as types of products and their risks 
 
What is covered on the SIE exam? - correct answer Capital markets, products and their risks, trading, customer accounts, prohibited activities, and an overview of regulatory framework 
 
What does the SIE exam allow you to do? - correct answer Nothing other than allow you to t...
FINRA SERIES 7 EXAM 2024 WITH 100% ACCURATE SOLUTIONS
FINRA SERIES 7 EXAM 2024 WITH 100% ACCURATE SOLUTIONS 
 
 
STRIPS may be attractive to investors for which of the following reasons? 
 
A. They offer semi-annual interest payments 
B. The securities are tax-free until they mature 
C. They carry almost no reinvestment risk 
D. They are offered at only a 20 year maturity which is a maturity that is not offered by traditional Treasury securities - correct answer C. They carry almost no reinvestment risk 
 
The Alternative Minimum Tax (AMT): 
 
A. A...
- Exam (elaborations)
- • 40 pages •
FINRA SERIES 7 EXAM 2024 WITH 100% ACCURATE SOLUTIONS 
 
 
STRIPS may be attractive to investors for which of the following reasons? 
 
A. They offer semi-annual interest payments 
B. The securities are tax-free until they mature 
C. They carry almost no reinvestment risk 
D. They are offered at only a 20 year maturity which is a maturity that is not offered by traditional Treasury securities - correct answer C. They carry almost no reinvestment risk 
 
The Alternative Minimum Tax (AMT): 
 
A. A...
FINRA SIE EXAM 2024 WITH 100% ACCURATE SOLUTIONS
FINRA SIE EXAM 2024 WITH 100% ACCURATE SOLUTIONS
- Exam (elaborations)
- • 8 pages •
FINRA SIE EXAM 2024 WITH 100% ACCURATE SOLUTIONS
FINRA SIE EXAM 2024 WITH 100% ACCURATE SOLUTIONS
FINRA SIE EXAM 2024 WITH 100% ACCURATE SOLUTIONS 
 
If interest Rates fall the issuer will most likely call which bonds first? - correct answer High Dividend Rate preferred issues trading at a premium 
 
What are some actions by a corporation will affect an individuals common shareholder's equity - correct answer Conversion of convertible preferred stocks or bond 
Repurchase of common shares 
Issuance of additional common shares 
 
(Stock splits do not effect shareholders equity but it must b...
- Exam (elaborations)
- • 21 pages •
FINRA SIE EXAM 2024 WITH 100% ACCURATE SOLUTIONS 
 
If interest Rates fall the issuer will most likely call which bonds first? - correct answer High Dividend Rate preferred issues trading at a premium 
 
What are some actions by a corporation will affect an individuals common shareholder's equity - correct answer Conversion of convertible preferred stocks or bond 
Repurchase of common shares 
Issuance of additional common shares 
 
(Stock splits do not effect shareholders equity but it must b...
FINRA SIE EXAM 2024 WITH 100% ACCURATE SOLUTIONS
FINRA SIE EXAM 2024 WITH 100% ACCURATE SOLUTIONS 
 
 
The redemption value of an open-end investment company's shares is based on the: 
previous offering price 
previous closing NAV 
NAV computed after the order is received 
offering price computed after the order is received - correct answer NAV computed after the order is received 
 
The computation of dollar prices and accrued interest on municipal bonds is normal on what calendar basis? 
30/360 
30/365 
Actual/360 
Actual/365 - correct answ...
- Exam (elaborations)
- • 17 pages •
FINRA SIE EXAM 2024 WITH 100% ACCURATE SOLUTIONS 
 
 
The redemption value of an open-end investment company's shares is based on the: 
previous offering price 
previous closing NAV 
NAV computed after the order is received 
offering price computed after the order is received - correct answer NAV computed after the order is received 
 
The computation of dollar prices and accrued interest on municipal bonds is normal on what calendar basis? 
30/360 
30/365 
Actual/360 
Actual/365 - correct answ...
FINRA SIE EXAM 2024 WITH 100% ACCURATE SOLUTIONS
FINRA SIE EXAM 2024 WITH 100% ACCURATE SOLUTIONS 
 
 
Which stakeholder has first claim priority in a Chapter 11 proceeding? - correct answer Secured Debt Holders 
 
What is a firm required to do when receiving cash in excess of $10,000 from one customer in one business day? - correct answer File a Currency Transaction Report 
 
If a registered representative drives UBER part time, what is required? - correct answer They must provide written notification to the firm as mandated by FINRA. 
 
A cu...
- Exam (elaborations)
- • 3 pages •
FINRA SIE EXAM 2024 WITH 100% ACCURATE SOLUTIONS 
 
 
Which stakeholder has first claim priority in a Chapter 11 proceeding? - correct answer Secured Debt Holders 
 
What is a firm required to do when receiving cash in excess of $10,000 from one customer in one business day? - correct answer File a Currency Transaction Report 
 
If a registered representative drives UBER part time, what is required? - correct answer They must provide written notification to the firm as mandated by FINRA. 
 
A cu...
FLORIDA CLAIMS ADJUSTER EXAM 2024 WITH 100% ACCURATE SOLUTIONS
FLORIDA CLAIMS ADJUSTER EXAM 2024 WITH 100% ACCURATE SOLUTIONS 
 
 
Frank owned a home that was destroyed by a hurricane. Both ABC and XYZ Banks were listed as additional interests on his homeowner policy. The insurance company will make a payment to: 
A. The first mortgagee, ABC 
B. The Insured 
C. Jointly to ABC and XYZ 
D. All listed interests - correct answer D. All listed interests 
Remember that the insurer is not responsible to know the degrees of interest. In the event of a loss, one pa...
- Exam (elaborations)
- • 46 pages •
FLORIDA CLAIMS ADJUSTER EXAM 2024 WITH 100% ACCURATE SOLUTIONS 
 
 
Frank owned a home that was destroyed by a hurricane. Both ABC and XYZ Banks were listed as additional interests on his homeowner policy. The insurance company will make a payment to: 
A. The first mortgagee, ABC 
B. The Insured 
C. Jointly to ABC and XYZ 
D. All listed interests - correct answer D. All listed interests 
Remember that the insurer is not responsible to know the degrees of interest. In the event of a loss, one pa...
WGU D291 OBJECTIVE ASSESSMENT EXAM 2024 WITH 100% CORRECT ANSWERS
CPACE exam 2023 with 100% correct answers
PALS exam 2024 with 100% correct answers
Dubai RERA Broker Exam 2024 with 100% correct answers
WGU D291 OBJECTIVE ASSESSMENT EXAM 2024 WITH 100% CORRECT ANSWERS