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SIE Exam flashcards

SIE Trading Markets

This class was created by Brainscape user Candace Houghton. Visit their profile to learn more about the creator.

By: Candace Houghton
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Decks in this class (4)

Trading Market Basics
Which of the following is not par...,
The secondary market is divided i...,
The first market is trading of a ...
27  cards
Orders/Trading Practices
All of the following information ...,
An unpriced order that is routed ...,
A customer places an order to buy...
29  cards
Customer Disclosure and Settlement
An otc confirmation that disclose...,
Which of the following is not dis...,
All of the following must be disc...
63  cards
Basic Tax Rules for Equities
In january 20xx a customer buys 1...,
In january 20xx a customer buys 1...,
A customer buys a nasdaq stock in...
15  cards

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SIE Trading Markets

  • Class purpose General learning

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