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The expiration date of a listed option is:
A. the last day of the expiration month
B. the third Saturday of the expiration month
C. the Saturday following the third Friday of the expiration month
D. the third Friday of the expiration month
Which of the following securities is traded only in the over-the-counter market?
A. corporate bonds
B. preferred stocks
C. open-end investment companies
D. closed-end investment companies
For a self-employed individual’s retirement plan, ERISA permits an investment in which of the following?
A. a unit investment trust
B. a variable annuity
C. a US Treasury bond
D. all of the above
An offering price of 102 plus accrued interest applies to which of the following securities?
A. treasury bills
B. certificates of deposit
C. commercial paper
D. banker’s acceptances
In a firm commitment offering, any shares that are not sold are:
A. returned to the issuing corporation
B. listed in the over-the-counter market
C. transferred to treasury stock
D. owned by the members of the syndicate
In which of the following situations may exemption from compliance with Regulation T be granted?
A. a broker/dealer who does not offer margin accounts
B. a broker/dealer conducts business only in registered securities
C. a broker/dealer transacting less than 10% of its business through a member of a securities exchange
D. none of the above
What type of mutual fund would invest in equities and bonds?
A. dual purpose
B. balanced
C. technology
D. growth
Bubba owns stock with cumulative voting rights. There are five vacancies on a board and he owns 100 shares of stock. Bubba is entitled to cast the following votes:
A. a total of 100 votes
B. a total of 100 votes per
C. a total of 500 votes
D. you are not allowed to vote
Which of the following statements about mutual fund fees is accurate?
A. the management group receives a fee based upon the amount of assets in the fund
B. the sponsor receives a management fee for buying and selling the fund’s portfolio securities
C. the management group receives part of the sales charge in addition to a management fee
D. the custodian receives part of the management fee in addition to a fee for safekeeping of the fund’s securities
Regulation A permits a short form of filing for offerings of new securities provided the total amount of the offering does not exceed:
A. $1,000,000
B. $5,000,000
C. $2,000,000
D. $2,500,000
The public offering price of the securities of an open-end management investment company is:
A. determined by a method set forth in the prospectus of the issuer
B. based upon net asset value of the securities underlying the shares of the issuer plus a 10 % sales charge
C. determined by the relative demand for the shares of the issuer
D. the price used by distributors in determining sales incentive discounts to individual purchasers
Bubba buys 100 shares of XYZ stock at $40 per share and sells a listed July XYZ call at 45 for a $2 premium. What is his loss potential?
A. $3,800
B. $4,000
C. $4,200
D. $4,500
A short sale can be made in which of the following types of accounts?
A. special cash account
B. a custodian account
C. margin account
D. special memorandum account
Which of the following is not usually an additional function of a mutual fund’s custodial bank?
A. transfer agent
B. investment advisor
C. registrar
D. dividend disbursing agent
Which of the following is not a marketable security?
A. tax anticipation bonds
B. municipal bonds
C. treasury bonds
D. Series EE bonds
A trust instrument drawn pursuant to the Trust Indenture Act of 1939 sets forth which of the following?
A. the rights of stockholders
B. the duties of the trustee
C. the obligations of the issuing corporation
D. both B and C