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Question 1 of 10
1. Question
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), which of the following included in each set of proxy material?
Correct
For each set of proxy material, i.e., proxy statement, a form of proxy and annual report when processed as a unit, a Processing Unit Fee according to the number of nominee accounts through which the issuer’s securities are beneficially owned.
Incorrect
For each set of proxy material, i.e., proxy statement, a form of proxy and annual report when processed as a unit, a Processing Unit Fee according to the number of nominee accounts through which the issuer’s securities are beneficially owned.
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Question 2 of 10
2. Question
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), what is the processing unit fee per account in the case of a meeting for which an opposition proxy has been furnished to security holders?
Correct
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), In the case of a meeting for which an opposition proxy has been furnished to security holders, the Processing Unit Fee shall be $1.00 per account.
Incorrect
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), In the case of a meeting for which an opposition proxy has been furnished to security holders, the Processing Unit Fee shall be $1.00 per account.
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Question 3 of 10
3. Question
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), which of the following are supplemental fee for intermediaries for each nominee served by the intermediary that has at least one account beneficially owning shares in the issuer?
Correct
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), The supplemental fee for intermediaries is $22.00 for each nominee served by the intermediary that has at least one account beneficially owning shares in the issuer.
Incorrect
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), The supplemental fee for intermediaries is $22.00 for each nominee served by the intermediary that has at least one account beneficially owning shares in the issuer.
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Question 4 of 10
4. Question
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), which of the following intermediary unit fee should be paid up to 10,000 nominee accounts for each set of proxy material through which the issuer’s securities are beneficially owned?
Correct
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), An Intermediary Unit Fee for each set of proxy material, based on the following schedule according to the number of nominee accounts through which the issuer’s securities are beneficially owned:-
(a) 14 cents for each account up to 10,000 accounts.
(b) 13 cents for each account above 10,000 accounts, up to 100,000 accounts.
(c) 11 cents for each account above 100,000 accounts, up to 300,000 accounts.
(d) 9 cents for each account above 300,000 accounts, up to 500,000 accounts.
(e) 7 cents for each account above 500,000 accounts.Incorrect
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), An Intermediary Unit Fee for each set of proxy material, based on the following schedule according to the number of nominee accounts through which the issuer’s securities are beneficially owned:-
(a) 14 cents for each account up to 10,000 accounts.
(b) 13 cents for each account above 10,000 accounts, up to 100,000 accounts.
(c) 11 cents for each account above 100,000 accounts, up to 300,000 accounts.
(d) 9 cents for each account above 300,000 accounts, up to 500,000 accounts.
(e) 7 cents for each account above 500,000 accounts. -
Question 5 of 10
5. Question
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), which of the following intermediary unit fee should be paid for above 10,000 up to 100,000 nominee accounts for each set of proxy material through which the issuer’s securities are beneficially owned?
Correct
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), An Intermediary Unit Fee for each set of proxy material, based on the following schedule according to the number of nominee accounts through which the issuer’s securities are beneficially owned:-
(a) 14 cents for each account up to 10,000 accounts.
(b) 13 cents for each account above 10,000 accounts, up to 100,000 accounts.
(c) 11 cents for each account above 100,000 accounts, up to 300,000 accounts.
(d) 9 cents for each account above 300,000 accounts, up to 500,000 accounts.
(e) 7 cents for each account above 500,000 accounts.Incorrect
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), An Intermediary Unit Fee for each set of proxy material, based on the following schedule according to the number of nominee accounts through which the issuer’s securities are beneficially owned:-
(a) 14 cents for each account up to 10,000 accounts.
(b) 13 cents for each account above 10,000 accounts, up to 100,000 accounts.
(c) 11 cents for each account above 100,000 accounts, up to 300,000 accounts.
(d) 9 cents for each account above 300,000 accounts, up to 500,000 accounts.
(e) 7 cents for each account above 500,000 accounts. -
Question 6 of 10
6. Question
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), which of the following intermediary unit fee should be paid for above 100,000 up to 300,000 nominee accounts for each set of proxy material through which the issuer’s securities are beneficially owned?
Correct
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), An Intermediary Unit Fee for each set of proxy material, based on the following schedule according to the number of nominee accounts through which the issuer’s securities are beneficially owned:-
(a) 14 cents for each account up to 10,000 accounts.
(b) 13 cents for each account above 10,000 accounts, up to 100,000 accounts.
(c) 11 cents for each account above 100,000 accounts, up to 300,000 accounts.
(d) 9 cents for each account above 300,000 accounts, up to 500,000 accounts.
(e) 7 cents for each account above 500,000 accounts.Incorrect
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), An Intermediary Unit Fee for each set of proxy material, based on the following schedule according to the number of nominee accounts through which the issuer’s securities are beneficially owned:-
(a) 14 cents for each account up to 10,000 accounts.
(b) 13 cents for each account above 10,000 accounts, up to 100,000 accounts.
(c) 11 cents for each account above 100,000 accounts, up to 300,000 accounts.
(d) 9 cents for each account above 300,000 accounts, up to 500,000 accounts.
(e) 7 cents for each account above 500,000 accounts. -
Question 7 of 10
7. Question
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), which of the following intermediary unit fee should be paid for above 300,000 up to 500,000 nominee accounts for each set of proxy material through which the issuer’s securities are beneficially owned?
Correct
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), An Intermediary Unit Fee for each set of proxy material, based on the following schedule according to the number of nominee accounts through which the issuer’s securities are beneficially owned:-
(a) 14 cents for each account up to 10,000 accounts.
(b) 13 cents for each account above 10,000 accounts, up to 100,000 accounts.
(c) 11 cents for each account above 100,000 accounts, up to 300,000 accounts.
(d) 9 cents for each account above 300,000 accounts, up to 500,000 accounts.
(e) 7 cents for each account above 500,000 accounts.Incorrect
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), An Intermediary Unit Fee for each set of proxy material, based on the following schedule according to the number of nominee accounts through which the issuer’s securities are beneficially owned:-
(a) 14 cents for each account up to 10,000 accounts.
(b) 13 cents for each account above 10,000 accounts, up to 100,000 accounts.
(c) 11 cents for each account above 100,000 accounts, up to 300,000 accounts.
(d) 9 cents for each account above 300,000 accounts, up to 500,000 accounts.
(e) 7 cents for each account above 500,000 accounts. -
Question 8 of 10
8. Question
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), which of the following intermediary unit fee should be paid for above 500,000 nominee accounts for each set of proxy material through which the issuer’s securities are beneficially owned?
Correct
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), An Intermediary Unit Fee for each set of proxy material, based on the following schedule according to the number of nominee accounts through which the issuer’s securities are beneficially owned:-
(a) 14 cents for each account up to 10,000 accounts.
(b) 13 cents for each account above 10,000 accounts, up to 100,000 accounts.
(c) 11 cents for each account above 100,000 accounts, up to 300,000 accounts.
(d) 9 cents for each account above 300,000 accounts, up to 500,000 accounts.
(e) 7 cents for each account above 500,000 accounts.Incorrect
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), An Intermediary Unit Fee for each set of proxy material, based on the following schedule according to the number of nominee accounts through which the issuer’s securities are beneficially owned:-
(a) 14 cents for each account up to 10,000 accounts.
(b) 13 cents for each account above 10,000 accounts, up to 100,000 accounts.
(c) 11 cents for each account above 100,000 accounts, up to 300,000 accounts.
(d) 9 cents for each account above 300,000 accounts, up to 500,000 accounts.
(e) 7 cents for each account above 500,000 accounts. -
Question 9 of 10
9. Question
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), which of the following intermediary unit fee should be paid up to 10,000 nominee accounts for special meetings?
Correct
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), for special meetings, the Intermediary Unit Fee shall be based on the following schedule:-
(a) 19 cents for each account up to 10,000 accounts.
(b) 18 cents for each account above 10,000 accounts, up to 100,000 accounts.
(c) 16 cents for each account above 100,000 accounts, up to 300,000 accounts.
(d) 14 cents for each account above 300,000 accounts, up to 500,000 accounts.
(e) 12 cents for each account above 500,000 accounts.Incorrect
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), for special meetings, the Intermediary Unit Fee shall be based on the following schedule:-
(a) 19 cents for each account up to 10,000 accounts.
(b) 18 cents for each account above 10,000 accounts, up to 100,000 accounts.
(c) 16 cents for each account above 100,000 accounts, up to 300,000 accounts.
(d) 14 cents for each account above 300,000 accounts, up to 500,000 accounts.
(e) 12 cents for each account above 500,000 accounts. -
Question 10 of 10
10. Question
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), which of the following intermediary unit fee should be paid for above 10,000 up to 100,000 nominee accounts for special meetings?
Correct
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), for special meetings, the Intermediary Unit Fee shall be based on the following schedule:-
(a) 19 cents for each account up to 10,000 accounts.
(b) 18 cents for each account above 10,000 accounts, up to 100,000 accounts.
(c) 16 cents for each account above 100,000 accounts, up to 300,000 accounts.
(d) 14 cents for each account above 300,000 accounts, up to 500,000 accounts.
(e) 12 cents for each account above 500,000 accounts.Incorrect
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), for special meetings, the Intermediary Unit Fee shall be based on the following schedule:-
(a) 19 cents for each account up to 10,000 accounts.
(b) 18 cents for each account above 10,000 accounts, up to 100,000 accounts.
(c) 16 cents for each account above 100,000 accounts, up to 300,000 accounts.
(d) 14 cents for each account above 300,000 accounts, up to 500,000 accounts.
(e) 12 cents for each account above 500,000 accounts.