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Which of the following compensation arrangements between an investment adviser and an individual client with a net worth of $600,000 would be disallowed?
A. The client agrees to pay the investment adviser an hourly fee of $60.00.
B. The investment adviser will receive 0.1% of the total value of the client’s assets under management as of the end of each month.
C. The investment adviser will receive 0.1% of the gross capital gains earned on the portfolio each quarter.
D. All of the above are legitimate compensation arrangements between and investment adviser and an individual client with a net worth of $600,000.
AllTime Investment Advisers advertises that its phones are manned 24/7, so that a client “doesn’t have to lie awake all night worrying about a financial problem.” In fact, AllTime does have a answering service that answers calls in the evenings and on the weekends when its offices are closed. The service informs the caller of the firm’s business hours, which will be the earliest opportunity the caller will have to talk to an investment adviser representative. Is this a violation of any securities laws?
A. No. It’s not a violation of any securities laws, but the firm probably won’t retain many clients this way.
B. Yes. The Uniform Securities Act prohibits investment advisers from making deceptive statements in the solicitation of clients as well as in advising clients.
C. No. The firm’s phones are manned 24/7, so it hasn’t lied.
D. It depends. If, before a client signs a contract with the firm, it is made clear that investment adviser representatives are not, in fact, available to him 24/7, then AllTime is in the clear.
The C&S Railroad is in the process of issuing new bonds. Before these bonds can be offered for sale,
A. they must be registered with the SEC since railroads are involved in interstate commerce.
B. they must be registered in every state in which the bonds will be sold to investors.
C. they must be registered with the SEC and in each state through which the railroad passes.
D. None of the above statements is true.
“T + 3” refers to
A. the form, also known as a “trade ticket,” that is filled out when an order is entered into the market.
B. the form that is filled out and sent to the client confirming that the trade has been executed.
C. the fact that the settlement date will be three business days after the trade date, which is the “regular way settlement” for transactions involving stocks and corporate and municipal bonds.
D. a procedure to minimize the potential for money laundering.
Noah Scruples, an agent with CanDo Broker-Dealers, just got a copy of the most recent report on a certain stock. The report was generated by CanDo’s analyst department and is hot off the presses. It has not yet even been put on the firm’s website for the firm’s clients. The analyst department has just changed its recommendation on the stock from “Hold” to “Strong Buy” based on new information that it has obtained on the company. Can Noah rush to his office to buy shares of the stock before the analysts release their reports to CanDo’s clients?
A. Yes. The firm’s analysts used publicly available information to assess the stock and make its
recommendation, so Noah can buy the stock now on his own account.
B. No. It is unethical for him to trade based on this information before the firm’s clients have received the information.
C. No. This is a prohibited activity referred to as “painting the tape.”
D. Both B and C are true statements.
Which of the following would a firm not be expected to provide to the Administrator when registering an issue of securities with the state?
A. all sales and advertising materials that will be used in conjunction with the offering.
B. the agreement between the issuing firm and the underwriters
C. the agreement among the underwriters themselves
D. The firm will be expected to provide all of the above to the Administrator when registering an issue of securities with the state.
Which of the following laws deals with identity theft protection?
A. the Bank Secrecy Act (BSA)
B. the USA Patriot Act
D. Regulation S-P
Mr. Noah Scruples is a registered representative with CanDo Broker-Dealers. A client calls and wants Noah to purchase shares of a mutual fund the client has read about. CanDo is not authorized by this particular fund to effect purchases or sales of the fund shares. Can Noah execute the order anyway?
A. No. This would be considered money laundering, which is highly illegal.
B. No. This is a prohibited practice known as selling away.
C. No. This is a prohibited practice known as front running.
D. Yes. Since this is an unsolicited trade, Noah can execute the transaction on behalf of his client.
Under the guidelines of the Bank Secrecy Act (BSA), the Treasury Department now requires broker-dealers to obtain and keep certain information relating to clients that make or receive funds transfers that involve
A. $3,000 or more.
B. $10,000 or more.
C. $5,000 or more.
D. $100,000 or more.
As an agent, which of the following statements about the Securities Investor Protection Corporation (SIPC) can you legitimately make to your client?
A. The SIPC is the FDIC of the stock and bond markets.”
B. “The SIPC was established to restore funds to investors when the brokerage firm they have been using is bankrupt or in financial distress.”
C. “The SIPC is a government agency created by an Act of Congress to combat fraud.”
D. “The SIPC is a government agency that was created by an Act of Congress to protect investors against losses in the stock and bond market.”
Today’s edition of the Wall Street Journal carried a front page story regarding a federal lawsuit that has been filed against a software manufacturer for monopolistic practices. The CFO of the company called his broker today and sold some of the shares he owns in the company. Which of the following statements are true?I. The CFO is guilty of illegal insider trading.II. If the agent who effected the transaction for the CFO knew he was CFO of the software company, the agent is guilty of illegal insider trading.III. The broker-dealer for whom the agent works may have its license suspended or revoked if its agent has knowingly executed this illegal insider trade for not having supervised the agent properly.
A. I only
B. I and II only
C. I, II, and III
D. None of the statements is true.
Which of the following statements regarding an open-end investment company is not true?
A. Its shares are bought and sold through the company.
B. Its securities are federal covered.
C. Its shares may sell for either net asset value or greater than net asset value, but not below
D. Its shares are bought and sold on exchange floors.
Registration by coordination is provided for by which of the following federal securities acts?
A. Securities Act of 1933
B. Securities and Exchange Act of 1934
C. Investment Advisers Act of 1940
D. Investment Company Act of 1940
You execute a stock transaction for a client on Thursday, September 23rd. The settlement date on the order ticket will be
A. Thursday, September 23rd.
B. Monday, September 27th.
C. Friday, September 24th.
D. Tuesday, September 28th.
In accordance with the National Securities Markets Improvement Act of 1996, which of the following is a federal covered adviser and, therefore, exempt from registering with the state Administrator?I. An adviser who does business in 26 statesII. An adviser who manages the portfolio of a mutual fund that is registered with the SEC.III. An adviser with $35 million in assets under management
A. All of the selections meet the qualifications of a federal covered adviser.
B. I and II only
C. II and III only
D. I and III only
Layered Corporation wants to issue a bond that will have warrants attached. Each warrant gives the holder the right to buy 5 shares of Layered’s common stock at a price stipulated on the warrant. In this instance, Layered must file to register which of the following securities with the state?I. the bondsII. the warrants III. the common stock
A. I only
B. I and III only
C. I and II only
D. I, II, and III
Your client calls you with a market order to purchase 500 shares of the stock of Oracle and asks when payment will be due. If today is Wednesday, September 15th, you inform the client that payment is due on
A. Monday, September 20th.
B. Thursday, September 16th.
C. Friday, September 17th.
D. Saturday, September 18th.
To say a security is “exempt,” means thatI. it is exempt from the state’s anti-fraud laws. II. it is exempt from state registration requirements. III. any transaction involving it is considered to be an exempt transaction.
A. I, II, and III
B. I and II only
C. II and III only
D. II only
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