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The entity that serves as the auctioneer for trades conducted on an organized exchange floor is known as a:
A. registered trader.
C. floor broker.
D. commission broker.
Under current tax law, in order for the profits from the sale of any investment to be considered long -term capital gain income, the investment must have been held for:
A. longer than 6 months.
B. longer than 12 months.
C. longer than 18 months.
D. longer than 24 months.
The board of directors of a mutual fund is responsible for:I. authorizing purchases and sales of securities made by the fund.II. approving the fund’s contract with its investment adviser.III. ensuring that the fund complies with federal securities laws regarding such issues as 12b -1 fees.IV. establishing the fund’s dividend and capital gains policy.
A. I and IV only
B. I, II, and IV only
C. II, III, and IV only
D. I, II, III, and IV
You have a client, Richie Rich, who is in the 39.6% marginal tax bracket, and one of his investment goals is to minimize his payments to the IRS.Which of the following instruments would serve this purpose?
A. U.S. Treasury bills
B. general obligation bonds
C. an investment-grade corporate bond
D. Both Selections A and B would serve to minimize his payments to the IRS.
Mr. Shortfall placed a market order to buy 100 shares of Google (GOOG) with GetErDone Broker-Dealers. The market order was executed at $530 a share. In accordance with Regulation T:
A. Mr. Shortfall must pay for the purchased shares within 3 business days.
B. Mr. Shortfall must pay for the purchased shares within 5 business days.
C. GetErDone can request an extension from FINRA or another SRO for Mr. Shortfall if he is unable to pay for the shares within 5 business days.
D. Both B and C are true statements.
A new issue of common stock can be classified in which of the following categories?I. primary marketII. money marketIII. secondary marketIV. capital market
A. I only
B. III only
C. I and IV only
D. II and III only
Main Street Capital Corporation (MAIN) is registered as a non-diversified investment company under the Investment Company Act of 1940.Based on this, which of the following statements regarding MAIN are true? I. MAIN may not invest more than 5% of its investment monies in any single issuer. II. The net asset value of MAIN’s shares is likely to fluctuate more than that of a diversified investment company. III. MAIN’s returns are more likely to be affected by any single, specific economic occurrence or regulatory change.
A. I only
B. I and II only
C. II and III only
D. I, II, and III
Which of the following relationships regarding shares of common stock are necessarily true?I. shares outstanding > issued sharesII. authorized shares issued sharesIII. issued shares = treasury sharesIV. issued shares shares outstanding
A. I and II only
B. II and IV only
C. I, II, and III only
D. II, III, and IV only
Your nephew has asked you to help him formulate a financial plan for his family. Scott is 27 years old and has been employed as an associate with a law firm for two years. Sarah, his wife, is 26 years old and works in the human resources department of a large corporation. The couple is childless now, but they plan to begin a family in a few years. Together, they have accumulated $10,000 in a savings account and recently inherited $40,000 cash. They expect to be able to start saving at least $5,000 annually since their incomes more than meet their current needs. They each have employer-provided health insurance and retirement plans. Both have excellent upward mobility potential in their careers. They currently pay taxes at the marginal rate of 15%. Scott tells you that although they regularly read some of the more popular financial investment magazines, neither feels particularly knowledgeable about the world of investments.Based on this information, which of the following statements is true?
A. A greater than average percentage of their money should be invested in money market mutual funds to meet their needs for liquidity.
B. A greater than average percentage of their money should be invested in municipal bonds to minimize their currently high tax bill.
C. Although some money should be allocated to bond funds for diversification purposes, bond funds should be underweighted in favor of stock funds.
D. Purchasing power risk is not an issue in their situation.
Your client bought a variable annuity contract that has a 5% contingent deferred sales charge with a 7-year surrender period four years ago. He has been reading about bonus annuities and 1035 exchanges and has asked for your advice. You can tell him:
A. that it’s a great idea, and you plan on how you’re going to spend the unexpected income.
B. that although the exchange doesn’t have any tax consequences, he’ll be looking at a new, longer, surrender period.
C. that he’ll have to pay the 5% deferred sales charge if he executes the exchange.
D. both B and C.
Which of the following statements regarding both a Uniform Gifts to Minors account (UGMA) and a Uniform Transfers to Minors account (UTMA) is false?
A. There can be only one custodian named on the account.
B. The account must be established in the name of one minor child only.
C. Once established, the account is irrevocable.
D. The assets must be re-registered in the minor child’s name when the child turns 18.
Anna Lyst observes that the beta of a certain stock is 0.8. This means that:
A. if the S&P 500 Index loses 10%, this stock can be expected to lose 8%.
B. the stock is 80% more volatile than the S&P 500 Index.
C. if the S&P 500 Index is up 10%, this stock can be expected to lose 8%.
D. the stock is riskier than the overall market.
After having been divorced for several years, Mrs. Blended has remarried a man with three children of his own. She has set up a revocable trust in which she deposited funds that she inherited when her mother died, so that the monies will go uncontested to her two biological children in the event of her own death. These two adult children are the only beneficiaries of the trust. Mrs. Blended has no plans to touch any of the money in the trust unless circumstances demand it in the future. The trust is invested in a mutual fund that paid $500 in dividend income and distributed $3,000 in long-term capital gain income to the trust this year.Which of the following statements is true regarding the tax treatment of these distributions?
A. The distributions will not be taxed at this point; they will be taxed only when Mrs.
Blended or her beneficiaries make withdrawals from the trust.
B. Assuming her two adult children are equal beneficiaries, each one is responsible for paying tax on 50% of the income to the trust, or $1,750.
C. Mrs. Blended must pay taxes on the $3,500 in distributions.
D. The distributions will not be taxed at this point; they will be taxed as part of the estate upon Mrs. Blended’s death.
Which of the following is true about treasury bonds?
A. have no default risk.
B. have no interest-rate risk.
C. have no prepayment risk.
D. are totally risk-free.
Joan is a customer of GetErDone Broker-Dealers. Her twin sister, Jean, has accompanied her to GetErDone’s office and has gathered some information regarding opening an account with the firm, giving it her contact information at the same time.Under Regulation S-P, which of the following statements regarding GetErDone’s handling of Joan’s and Jean’s personal information is true?
A. GetErDone must provide Joan with a notification of its privacy policies annually and provide her with information on how to mandate that it not share her nonpublic personal information with nonaffiliated third parties.
B. GetErDone can disclose any information that Jean provided them to nonaffiliated third parties since Jean is not a customer of the broker-dealer.
D. All of the above are true statements.
Which of the following would be required to register as an investment company?I. a non-diversified management companyII. a unit investment trustIII. a face-amount certificate company
A. I, II, and III
B. II only
C. II and III only
D. I and II only
Given the same maturity, which of the following debt instruments would you expect to offer the highest yield-to-maturity?
A. a debenture issued by Abbott Laboratories
B. a bond issued by the Federal Home Loan Bank Board
C. a general obligation bond issued by the state of Massachusetts
D. a U.S. Treasury bond
Matt is a registered representative with Fine, Howard, Fine and Associates. Tom, an old fraternity brother, is one of his clients. Business has been bad, and Matt is going to have difficulties making this month’s mortgage payment. Tom was commiserating with him when the two hooked up to have a couple of beers together and offered to lend Matt some money to see him through the rough times. Based on these facts:
A. Matt must refuse Tom’s offer since Tom is one of his clients.
B. Matt can accept Tom’s offer, but only after obtaining pre-approval from Fine, Howard, Fine.
C. Matt can accept the offer without having to obtain pre-approval from his employer since he and Tom are former fraternity brothers and their friendship pre-dates their agent/client relationship.
D. Matt can accept the offer as long as Tom will not need to sell any investments to lend Matt the money. This would constitute a conflict of interest.
Which of the following is not a secured debt issue?
A. a collateral trust receipt
B. a subordinated debenture
C. an equipment trust receipt
D. a mortgage bond
stion No: 159In 2004, your Uncle Oscar purchased 300 shares of Hasbro, Inc. for $19 a share. Uncle Oscar died earlier year and left his Hasbro stock to you. The stock was selling for $44 on the day he died, but by the time you learned that you were the beneficiary of the stock, the price was $47. What is your cost basis in Hasbro?
Your client has recently heard about “principal-protected funds” and has asked your ad vice. You should tell her that: I. the majority of principal-protected funds guarantee the investor’s initial investment, less any front-end load, even if the stock market falls. II. it would not be a good investment if she thinks she will need the money within the next five to ten years.III. it will beat the returns she could earn on an S&P 500 Index fund in most years. IV. if she sells her shares at any time other than the maturity date specified, she could lose money if the price per share has fallen.
A. I only
B. I and II only
C. I and III only
D. I, II, and IV only
The total return reported by a mutual fund:
A. is calculated as the percentage change in the net asset value of the fund.
B. is equal to the return it earned on the dividend and interest income it received from its investments.
C. is equal to the annual percentage increase in the dollars invested in the fund by investors.
D. includes both the dividend and interest income earned by the fund and any increase in the fund’s net asset value.
The Slippery Fund is a high-yield bond fund, which means it invests a substantial amount of its money in:
A. investment-grade bonds.
B. high-quality bonds.
C. junk bonds.
D. bonds with an AAA rating.
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