SIE – Practice Exam 6

Investment Adviser advertising practices are regulated by:

Which of the following would be considered an “accredited investor”?

1. Individual with a net worth of $750,000
2. Couple with a net worth of $1,500,000
3. Individual with an annual income of $250,000 for the past 3 years
4. Couple with an annual income of $400,000 for the past 3 years

The Financial Crimes Enforcement Network (FinCEN) is a bureau within the:

Due to their unsophisticated nature, most securities regulations are targeted at keeping which investor class protected?

An entity that trades in securities on behalf of its clients is called a:

A firm that advises on the issuance of municipal securities must register with:

Which of the following is true about Regulation S offerings?

1. They take place within the United States
2. Only U.S. investors can participate
3. They take place outside the United States
4. Only non-U.S. investors can participate

The certificates representing shares of a foreign company’s stock trading in the United States are known as:

Broker-dealers and institutional investors can trade exchange-listed securities over the counter in the:

Institutional Investor A purchases a large block of securities directly from Institutional Investor B. This trade is processed through: