FAQs tagged as

FINRA Exams

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  1. The Shur-Gro variable annuity uses an AIR of 3% for those contract holders who are ...

  2. Sometimes investment banking firms allocate shares of hot issues to the personal ...

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

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

  5. Your client, Todd, owns 100 shares HAT stock in his taxable stock portfolio ...

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

  7. Based on the Employment Retirement Income Security Act (ERISA), a retirement plan ...

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

  9. Which statements about common shareholder rights are FALSE? I. A shareholder may ...

  10. If ABC Company had the following Income Statement figures, what is the Operating ...

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

  12. The broadest measure of the activity and movement of the overall stock market can ...

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

  14. Peterson Jewels plans to offer $200,000 in securities to finance its expansion to ...

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

  16. A market maker in the stock ABCD has filled a portfolio over time with prices as ...

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

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

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

  20. ABC Broker-dealer has no office in state and transacts fewer than five trades during ...

  21. All of the following are unethical behaviors prohibited under the Uniform Securities ...

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

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

  24. Which of the following would be considered “sales literature” under the NASD’s definition ...

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

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

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

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

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

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

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

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

  33. A person purchases stock XYZ (an Over The Counter stock) from a company who is also ...

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

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

  36. Which of the following terms are associated with the purchase/redemption of open-end ...

  37. Your neighbor asks you about Municipal Bonds, you would be correct in telling him ...

  38. Under the Uniform Securities Act, the statute of limitations for criminal suits is ...

  39. A person whose registration has been revoked by an Administrator due to a felony ...

  40. Which of the following, under the NASD Conduct Rules, would constitute a complaint ...

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

  42. When a broker-dealer has decided to provide its registered representatives with reprints ...

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

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

  45. Which of the following statements regarding Real Estate Limited Partnerships (RELPs) ...

  46. An investor opened a ten-year, $100/month front-end load periodic payment plan 14 ...

  47. An investor owns 100 shares of LKI at $58. He needs to limit his loss to 5 points ...

  48. Under the Uniform Securities Act, the registration of an investment adviser results ...

  49. Justin and Britney, multi-millionaires, want to make the maximum gift of cash to ...

  50. Just prior to the close of the markets on the final trading day before expiration ...

  51. When evaluating an individual's current financial status, liquid net worth would ...

  52. 12b-1 fees in mutual funds, are known as “asset-based distribution charges,” ...

  53. If the government was considering a change in the federal policy on taxation of municipal ...

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

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

  56. Under the Uniform Securities Act, the Administrator of California may examine the ...

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

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

  59. Under the Uniform Securities Act, a broker-dealer is generally required to obtain ...

  60. Jason Sanborn is a senior-level executive with Beanster Brew, one of the world's ...

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

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

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

  64. Mandy Edwards owns 100 shares in the PruRock Value Fund. She could use a little extra ...

  65. Under the Uniform Securities Act, the Administration is empowered to perform which ...

  66. Under the Uniform Securities Act, a registrant who holds custody of client funds ...

  67. Margin accounts are established to allow investors the ability to use leverage with ...

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

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

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

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

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

  73. Under the Uniform Securities Act, federal covered securities include those sold to ...

  74. Which of the following terms are associated with the purchase/redemption of open-end ...

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

  76. There are several major factors that make mutual funds attractive investments for ...

  77. Under the Uniform Securities Law, broker-dealers are required to sign a consent to ...

  78. After a federal covered security has filed notice with the Administrator for an initial ...

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

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

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

  82. Under the Uniform Securities Act, the statute of limitations for criminal suits is ...

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

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

  85. Mandy Edwards owns 100 shares in the PruRock Value Fund. She could use a little extra ...

  86. Jane and Fabbio Salvatore have just discovered that a Fabulous Florence municipal ...

  87. Among the following property ownership arrangements, which may be entered into by ...

  88. Under the Telephone Consumer Act of 1991, a telemarketer must provide which of the ...

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

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

  91. Under the Uniform Securities Act, client information may not be disclosed to a third ...

  92. In the separate account of a variable annuity, which of the following characteristics ...

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

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

  95. Under the Uniform Securities Act, which of the following advisers is NOT defined ...

  96. Which of the following statements regarding the performance of a mutual fund would ...

  97. Under the Uniform Securities Act, federal covered securities include those sold to ...

  98. Tina and Mary are sisters seeking to save enough money to contribute to their eight-year-old ...

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

  100. Zero coupon bonds are frequently cited as a popular investment vehicle for education ...

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