Professionals FAQs

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  1. 12b-1 fees in mutual funds, are known as “asset-based distribution charges,” ...

  2. 529 plans may do all of the following except: a) As a prepaid tuition plan ...

  3. A 10-year, 8% coupon bond is currently trading at 98.5 of par ...

  4. A 10-year, 8% coupon bond is currently trading at 98.5 of par ...

  5. A 6.4% coupon bond that is expected to mature in five years is currently trading at 96.825 ...

  6. A 7-year, 6% coupon callable bond is currently trading at 96.25.  The ...

  7. A CFA Member or Candidate may be justified in disclosing confidential information received from a client

  8. A U.S. investor purchased some shares in Germany for 25 euros and sold them a year later for 42 euros

  9. A _______ is a person on the trading floor of certain exchanges who holds an inventory of certain stocks

  10. A brokerage customer has $10,000 in securities and a credit balance of $4,000 ...

  11. A church that a registered representative (RR) attends plans to raise the funds necessary to complete ...

  12. A company issues some shares in order to finance the purchase of some more production facilities ...

  13. A company starts the year with five widgets in its inventory ...

  14. A corporation, which does virtually all of its business in the state where it has its home offices

  15. A customer has a short margin account. The account has equity of $15,000 ...

  16. A customer sells a 6% corporate bond on Tuesday October 4th for regular settlement ...

  17. A diagram of yields on debt instruments shows that short-term interest rates are higher than long-term ...

  18. A head and shoulders top formation chart: I. is a bearish chart II ...

  19. A man opened a Uniform Transfers to Minors Account for his grandson several years ago ...

  20. A manager is claiming that her stock picks, on average ...

  21. A manager wishes to construct a portfolio by investing 25% in a stock half as volatile as the market

  22. A margin account has a long market value of $12,000, a debit balance of -$6,000 ...

  23. A market maker in the stock ABCD has filled a portfolio over time with prices as low as $2 per share ...

  24. A person purchases stock XYZ (an Over The Counter stock) from a company who is also the market maker ...

  25. A person whose registration has been revoked by an Administrator due to a felony conviction of a securities-related ...

  26. A portfolio hedge is purchased in the form of a spread ...

  27. A portfolio hedge is purchased in the form of a spread ...

  28. A registered representative has been following PDQ stock in the market over the past year ...

  29. A registered representative has discovered an article in a major news magazine that makes statements ...

  30. A sales representative or broker-dealer that violates the Uniform Securities Act when offering or selling ...

  31. A sales representative solicits and executes a mutual fund trade ...

  32. A “normal market” is also called a (an): A) Inverted market b) Carrying charge market c) Premium market ...

  33. ABC Broker-dealer has no office in state and transacts fewer than five trades during a 12-month period

  34. ABC shares are currently trading at $27.00, and they are expected to pay a dividend of $0.50 ...

  35. According to SEC Release IA-1092, which of the following would NOT qualify as an investment advisor

  36. After a federal covered security has filed notice with the Administrator for an initial public offering

  37. All of the following are true concerning the Yield-to-Maturity (YTM) of a bond EXCEPT ...

  38. All of the following are unethical behaviors prohibited under the Uniform Securities Act EXCEPT ...

  39. All of the following statements are true with respect to the various ways that equity investments may ...

  40. Among the following property ownership arrangements, which may be entered into by spouses only ...

  41. An advisor has all client advisory fees automatically deducted from their accounts by the custodian. 

  42. An appraiser forms the following estimates for a rental property ...

  43. An individual has started investments of $100/month into a spread-load ...

  44. An individual has started investments of $100/month into a spread-load ...

  45. An individual made a lump-sum deposit into a variable annuity of $25,000 ...

  46. An investor bought a new full faith and credit bond issued by the city of Limrock ...

  47. An investor has bought 25 call options on oil. The exercise price of the call is $29.45 ...

  48. An investor opened a ten-year, $100/month front-end load periodic payment plan 14 months ago which she ...

  49. An investor owns 100 shares of LKI at $58. He needs to limit his loss to 5 points or less and will accept ...

  50. An investor with 1,000 shares of the Amazing Growth fund places a redemption order for the shares before ...

  51. An order for corporate bonds marked "4M95." In total this order would be worth ...

  52. An underwriting syndicate for a new municipal offering of $10,000,000 has been formed ...

  53. Anna Jones, a portfolio manager at XYZ Securities, has handled the retirement fund of ABC Industrial

  54. At the beginning of the year, ABC Corp. began to lease a major piece of equipment ...

  55. At the beginning of the year, HIJ Corp. began to lease new equipment ...

  56. At the beginning of the year, OPQ Corp. began to lease a building using the capitalized method ...

  57. At year-end 2004, the Federal Reserve reported moderate economic growth of 3% ...

  58. Based on the Employment Retirement Income Security Act (ERISA), a retirement plan may be considered ...

  59. Below is an example of US Treasury yields for various maturities ...

  60. Ben is employed by the underwriter of the PCO mutual fund ...

  61. Bob is a registered representative who recently left ABC Securities and has now registered with PDG ...

  62. Bobby opened an account with the PDG mutual fund in October ...

  63. By expanding its current broker-dealer business to include financial planning and portfolio management

  64. Clark recently purchased shares in ABC mutual fund with some funds from the sale of his home ...

  65. Committing acts against the Commodity Exchange Act can result in fines up to ...

  66. Cousin Eddie purchased 250 shares of WES stock for $10,000. One year later ...

  67. Customer account records of NFA members must be kept for ...

  68. Darth Vader, CFA, will begin a new job next week with a regional brokerage firm ...

  69. Dave, a conservative investor, comes to you for advice on a diversified fixed-income portfolio ...

  70. Deciles, percentiles, quintiles and quartiles divide a distribution into how many portions ...

  71. Demonstrate, using equations from the Dupont or similar ratio model ...

  72. Dennis, a resident of Pennsylvania, bought a U.S. Treasury Bond which pays 7% interest annually (coupon ...

  73. Donald has been putting aside money for his retirement into a Roth IRA for six years.  Although ...

  74. During a disastrous trading day on the NYSE, the DJIA is down by 21% (a Level 2 decline) at 2:30 ...

  75. Federal covered securities are subject to which of the following requirements ...

  76. For $800,000 invested today, an insurance company promises to start making perpetual payments to you ...

  77. For each widget that a manufacturer sells, it records a sale of $5 and a variable cost of $3 ...

  78. Harry began a front-end load contractual plan, calling for $100 a month for 10 years ...

  79. Helen Carter, CFA, is a portfolio manager working for a large multi-service financial services firm

  80. If ABC Company had the following Income Statement figures, what is the Operating Margin of ABC Company

  81. If ABC corporation, which is listed on the New York Stock Exchange ...

  82. If a foreign currency dealer is quoting a bid-ask spread of $1.0500-35 ...

  83. If a person's account is frozen, which of the following activities is allowed ...

  84. If a sales representative moves from one broker-dealer to another ...

  85. If an individual becomes a policyholder of a variable life insurance policy and is uncertain whether ...

  86. If an investor has a required rate of return of 10% on a 20-year zero ...

  87. If an issuer wishes to register a security in the state ...

  88. If consumption was $2B, investment $0.5B, government purchases $3B, exports $1B ...

  89. If during a period of rising prices, a LIFO liquidation occurs ...

  90. If the government was considering a change in the federal policy on taxation of municipal bond income

  91. In a Corporation's financials, surplus earnings are accounted for as ...

  92. In the beginning of this year, the total par value of all CCC-rated bonds were $12 billion while the ...

  93. In the separate account of a variable annuity, which of the following characteristics apply to annuity ...

  94. In which of the following ways can investor qualify for a breakpoint ...

  95. In your initial meeting with an investment advisor representative (IAR) ...

  96. Inter-Galaxy Investors Inc is a large broker-dealer headquartered in North Dakota ...

  97. It is now 6 month after you just purchased a $1,000 face value TIPS ...

  98. Jane and Fabbio Salvatore have just discovered that a Fabulous Florence municipal bond will be offered ...

  99. Janet Spears is planning to retire in 7 years and plans to start saving $15,000 ...

  100. Jason Sanborn is a senior-level executive with Beanster Brew, one of the world's largest coffee bean ...

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Financial Professionals
  1. Many of us fantasize about winning a big lottery jackpot. Let’s say that actually happened? What would you do with the money? How would you manage it?
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    Tips For Managing A Cash Windfall

  2. With stocks surging, financial advisers and their wealthy clients are asking why they should continue to bother with poorly performing alternatives.
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    Are Advisors Off Alternatives?

  3. Even though inflation currently seems tame, it's still the worst enemy of retirees. Here are some tips to reduce its impact.
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    Tips For Managing Inflation In Retirement

  4. The average retiree’s check will rise by 1.7% in 2015, the Social Security Administration says. And the ceiling on taxable earnings will rise, as well.
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    How Social Security Will Change In 2015

  5. What to include – and leave out – to create the kind of resume that will get you the interview that lands you the job.
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    Resume Strategies To Get That Finance Job