Professionals FAQs

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

  2. Joanne Bume, CFA, is the head of research at large brokerage firm ...

  3. Joe just bought a house for $750,000, of which 65% was financed with a 20 year ...

  4. John King, a CFA, resides in Jurisdiction A, where the securities laws and regulations are more strict ...

  5. John purchased 100 shares of XYZ stock for $50 per share. He held the stock for one year then sold the ...

  6. Just prior to the close of the markets on the final trading day before expiration in February ...

  7. Justin and Britney, multi-millionaires, want to make the maximum gift of cash to their two (2) grandchildren ...

  8. KLM Corporation shares just paid a dividend of $1.34. Earnings are expected to grow at 7% while the ...

  9. Laura bought 200 shares of GE at $80 on a 70% margin and received a margin call ...

  10. Mandy Edwards owns 100 shares in the PruRock Value Fund. She could use a little extra money and calls ...

  11. Mandy Edwards owns 100 shares in the PruRock Value Fund. She could use a little extra money and calls ...

  12. Margin accounts are established to allow investors the ability to use leverage with their investments

  13. Michael Feinberg sends a memo to his star investment advisor ...

  14. Mike is a highly compensated employee of XYZ Company, his company has offered him a nonqualified retirement ...

  15. Money laundering has become a specific concern in all legitimate financial institutions worldwide ...

  16. Mrs Jaxsonheim is considered one of StrateShooter National Bank's best and most financially stable customers

  17. One way to determine the volatility of a bond is to calculate its duration ...

  18. Over a period of one year, Mono Corp. saw it sales increase by 16% ...

  19. Peterson Jewels plans to offer $200,000 in securities to finance its expansion to two neighboring states; ...

  20. Price taker markets differ from price searcher markets because in a price taker market ...

  21. Rennie Asada, CFA, is a portfolio manager with Martek Securities ...

  22. Ronnie has just created her own publishing company and, as the sole owner ...

  23. Sam and Betty are a married couple with two children ...

  24. Sheila is a registered representative with YTR Investments. One of her clients ...

  25. Sherry just began work with JumboProfits Brokerage in Spokane and is going through the process of registering ...

  26. Sometimes investment banking firms allocate shares of hot issues to the personal accounts of corporate ...

  27. Stock A has a standard deviation of 16% and a beta of 1.1 ...

  28. Stocks with a positive alpha are considered to be underpriced ...

  29. The ABC Global mutual fund exhibited the following rates of return over the last five years ...

  30. The Administrator issue may issue a stop order for a federal covered security under all the following ...

  31. The Chairman of Bright Star Life and Casual had a meeting with his broker this afternoon ...

  32. The Shur-Gro variable annuity uses an AIR of 3% for those contract holders who are in the annuity stage

  33. The Standard and Poor’s 100 index closed on August 20 at 536.04 ...

  34. The broadest measure of the activity and movement of the overall stock market can be measured by using ...

  35. The covariance between Stock A and Stock Z is 10.32, while the correlation coefficient between the two ...

  36. The general investing public is under the opinion that today's new tech stock is going to take off and ...

  37. The popular trading system "Instinet" is situated in which of the following markets ...

  38. The term “wildcatting” in DPPs is typically used to refer to which of the following ...

  39. There are several major factors that make mutual funds attractive investments for many people ...

  40. Tiffany's brother, Jamal, is a new investor but believes that the markets are basically efficient and ...

  41. Tina and Mary are sisters seeking to save enough money to contribute to their eight-year-old nephew's ...

  42. Under MSRB Rules, a municipal representative must undergo an apprenticeship period prior to dealing ...

  43. Under MSRB rules, which of the following municipal bonds would be quoted on a yield-to-call basis on ...

  44. Under a pegged exchange rate system which of the following measures can be undertaken by a home country ...

  45. Under the Income Capitalization approach to valuing real estate, which of the following definitions ...

  46. Under the Investment Company Act of 1940, which of the following is not a formal classification ...

  47. Under the Telephone Consumer Act of 1991, a telemarketer must provide which of the following to a called ...

  48. Under the Uniform Securities Act, a broker-dealer is generally required to obtain surety bond coverage ...

  49. Under the Uniform Securities Act, a registrant who holds custody of client funds must do all of the ...

  50. Under the Uniform Securities Act, all of the following are prohibited EXCEPT ...

  51. Under the Uniform Securities Act, client information may not be disclosed to a third party unless such ...

  52. Under the Uniform Securities Act, federal covered securities include those sold to qualified purchasers ...

  53. Under the Uniform Securities Act, federal covered securities include those sold to qualified purchasers ...

  54. Under the Uniform Securities Act, registration requirements for an investment adviser representative ...

  55. Under the Uniform Securities Act, registration with the Administrator as an investment adviser is required ...

  56. Under the Uniform Securities Act, the Administration is empowered to perform which of the following ...

  57. Under the Uniform Securities Act, the Administrator of California may examine the financial books and ...

  58. Under the Uniform Securities Act, the registration of an investment adviser results in automatic registration ...

  59. Under the Uniform Securities Act, the statute of limitations for criminal suits is how long ...

  60. Under the Uniform Securities Act, the statute of limitations for criminal suits is how long ...

  61. Under the Uniform Securities Act, there are anti-fraud provisions that apply to securities ...

  62. Under the Uniform Securities Act, which of the following actions is permitted for a registered sales ...

  63. Under the Uniform Securities Act, which of the following advisers is NOT defined as a federal covered ...

  64. Under the Uniform Securities Act, which of the following are defined as securities ...

  65. Under the Uniform Securities Law, broker-dealers are required to sign a consent to service of process

  66. Unemployment resulting from changes in the basic composition of the economy ...

  67. Use the following information about a customer’s margin account to answer the question ...

  68. What two components are used to calculate risk-adjusted return? I ...

  69. When a broker-dealer has decided to provide its registered representatives with reprints from a magazine ...

  70. When a corporation wishes to open a margin account with a broker-dealer ...

  71. When a floor broker asks a specialist, “How’s PDQ?” ...

  72. When a floor broker asks a specialist, “How’s PDQ?” ...

  73. When a registered representative opens a new options account for a client ...

  74. When an agent of a broker-dealer begins employment with another broker-dealer ...

  75. When an investor is watching a proposed corporate merger and buys the stock of the company that is the ...

  76. When an investor reads that a mutual fund charges 12(b)-1 fees ...

  77. When evaluating an individual's current financial status, liquid net worth would be identified as ...

  78. Which TWO statements are TRUE about writing covered calls? I ...

  79. Which of the following are major differences between accumulation units and annuity units in the separate ...

  80. Which of the following are not types of open-end management investment companies ...

  81. Which of the following best describes American Depository Receipts (ADRs) ...

  82. Which of the following deliveries for a 600 share order, broker-dealer to broker-dealer ...

  83. Which of the following equity trades would appear on the ticker ...

  84. Which of the following events would cause an increase in a firm's P/E ratio ...

  85. Which of the following is a horizontal spread? a) Buy 1 FBN Aug 50 Call; Long 1 XYZ Aug 50 Put b) Write ...

  86. Which of the following is not a reason why a company might issue a stock dividend ...

  87. Which of the following is the most true regarding the type of assets found along the efficient ...

  88. Which of the following is true for qualified profit-sharing plans ...

  89. Which of the following qualifies as an Investment Advisor Representative ...

  90. Which of the following signatures are required on a client’s new account form ...

  91. Which of the following statements is (are) true with respect to price-earnings (P/E) multiples ...

  92. Which of the following statements is (are) true with respect to setting the proper constraints in managing ...

  93. Which of the following statements is (are) true with respect to the calculation of returns of composites ...

  94. Which of the following statements is (are) true with respect to the coefficient of determination ...

  95. Which of the following statements is (are) true with respect to the factors that a manager must take ...

  96. Which of the following statements is (are) true with respect to the key characteristics of the Global ...

  97. Which of the following statements is least accurate with respect to the various theories that exist ...

  98. Which of the following statements is(are) true with respect to the factors that a manager must take ...

  99. Which of the following statements least accurately describes the characteristics of futures contracts ...

  100. Which of the following statements least accurately describes the ways in which a swap may be terminated

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Financial Professionals
  1. Is an online adviser right for you? As with most questions in financial planning, the answer is 'it depends.' Here are a few thoughts to consider.
    Professionals

    Is An Online Financial Advisor Right For You?

  2. The total cost of a university education continues to outpace inflation. For some degrees, that expense isn't likely to pay off.
    Personal Finance

    Is An American College Education Still Worth It?

  3. 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?
    Professionals

    Tips For Managing A Cash Windfall

  4. With stocks surging, financial advisers and their wealthy clients are asking why they should continue to bother with poorly performing alternatives.
    Professionals

    Are Advisors Off Alternatives?

  5. 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.
    Professionals

    How Social Security Will Change In 2015