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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 minimum fee should be charged for providing beneficial ownership information?
Correct
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), A minimum fee of $100 should be charged for providing a beneficial ownership information list.
Incorrect
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), A minimum fee of $100 should be charged for providing a beneficial ownership information list.
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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), which of the following processing unit fee should be charged for interim reports, annual reports if processed separately, post-meeting reports, or other material?
Correct
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), a processing unit fee of 15 cents per account should be charged for interim reports, annual reports if processed separately, post-meeting reports, or other material.
Incorrect
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), a processing unit fee of 15 cents per account should be charged for interim reports, annual reports if processed separately, post-meeting reports, or other material.
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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 incremental fee based on up to 10,000 nominee accounts should be paid when an issuer elects to utilize notice and access for a proxy distribution?
Correct
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), when an issuer elects to utilize notice and access for a proxy distribution, there is an incremental fee based on all nominee accounts through which the issuer’s securities are beneficially owned as follows:-
(a) 25 cents for each account up to 10,000 accounts.
(b) 20 cents for each account over 10,000 accounts, up to 100,000 accounts.
(c) 15 cents for each account over 100,000 accounts, up to 200,000 accounts.
(d) 10 cents for each account over 200,000 accounts, up to 500,000 accounts.
(e) 5 cents for each account over 500,000 accounts.Incorrect
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), when an issuer elects to utilize notice and access for a proxy distribution, there is an incremental fee based on all nominee accounts through which the issuer’s securities are beneficially owned as follows:-
(a) 25 cents for each account up to 10,000 accounts.
(b) 20 cents for each account over 10,000 accounts, up to 100,000 accounts.
(c) 15 cents for each account over 100,000 accounts, up to 200,000 accounts.
(d) 10 cents for each account over 200,000 accounts, up to 500,000 accounts.
(e) 5 cents for each account over 500,000 accounts. -
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 incremental fee-based for above 10,000 up to 100,000 nominee accounts should be paid when an issuer elects to utilize notice and access for a proxy distribution?
Correct
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), when an issuer elects to utilize notice and access for a proxy distribution, there is an incremental fee based on all nominee accounts through which the issuer’s securities are beneficially owned as follows:-
(a) 25 cents for each account up to 10,000 accounts.
(b) 20 cents for each account over 10,000 accounts, up to 100,000 accounts.
(c) 15 cents for each account over 100,000 accounts, up to 200,000 accounts.
(d) 10 cents for each account over 200,000 accounts, up to 500,000 accounts.
(e) 5 cents for each account over 500,000 accounts.Incorrect
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), when an issuer elects to utilize notice and access for a proxy distribution, there is an incremental fee based on all nominee accounts through which the issuer’s securities are beneficially owned as follows:-
(a) 25 cents for each account up to 10,000 accounts.
(b) 20 cents for each account over 10,000 accounts, up to 100,000 accounts.
(c) 15 cents for each account over 100,000 accounts, up to 200,000 accounts.
(d) 10 cents for each account over 200,000 accounts, up to 500,000 accounts.
(e) 5 cents for each account over 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 incremental fee-based for above 100,000 up to 200,000 nominee accounts should be paid when an issuer elects to utilize notice and access for a proxy distribution?
Correct
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), when an issuer elects to utilize notice and access for a proxy distribution, there is an incremental fee based on all nominee accounts through which the issuer’s securities are beneficially owned as follows:-
(a) 25 cents for each account up to 10,000 accounts.
(b) 20 cents for each account over 10,000 accounts, up to 100,000 accounts.
(c) 15 cents for each account over 100,000 accounts, up to 200,000 accounts.
(d) 10 cents for each account over 200,000 accounts, up to 500,000 accounts.
(e) 5 cents for each account over 500,000 accounts.Incorrect
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), when an issuer elects to utilize notice and access for a proxy distribution, there is an incremental fee based on all nominee accounts through which the issuer’s securities are beneficially owned as follows:-
(a) 25 cents for each account up to 10,000 accounts.
(b) 20 cents for each account over 10,000 accounts, up to 100,000 accounts.
(c) 15 cents for each account over 100,000 accounts, up to 200,000 accounts.
(d) 10 cents for each account over 200,000 accounts, up to 500,000 accounts.
(e) 5 cents for each account over 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 incremental fee-based for above 200,000 up to 500,000 nominee accounts should be paid when an issuer elects to utilize notice and access for a proxy distribution?
Correct
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), when an issuer elects to utilize notice and access for a proxy distribution, there is an incremental fee based on all nominee accounts through which the issuer’s securities are beneficially owned as follows:-
(a) 25 cents for each account up to 10,000 accounts.
(b) 20 cents for each account over 10,000 accounts, up to 100,000 accounts.
(c) 15 cents for each account over 100,000 accounts, up to 200,000 accounts.
(d) 10 cents for each account over 200,000 accounts, up to 500,000 accounts.
(e) 5 cents for each account over 500,000 accounts.Incorrect
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), when an issuer elects to utilize notice and access for a proxy distribution, there is an incremental fee based on all nominee accounts through which the issuer’s securities are beneficially owned as follows:-
(a) 25 cents for each account up to 10,000 accounts.
(b) 20 cents for each account over 10,000 accounts, up to 100,000 accounts.
(c) 15 cents for each account over 100,000 accounts, up to 200,000 accounts.
(d) 10 cents for each account over 200,000 accounts, up to 500,000 accounts.
(e) 5 cents for each account over 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 incremental fee-based for over 500,000 nominee accounts should be paid when an issuer elects to utilize notice and access for a proxy distribution?
Correct
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), when an issuer elects to utilize notice and access for a proxy distribution, there is an incremental fee based on all nominee accounts through which the issuer’s securities are beneficially owned as follows:-
(a) 25 cents for each account up to 10,000 accounts.
(b) 20 cents for each account over 10,000 accounts, up to 100,000 accounts.
(c) 15 cents for each account over 100,000 accounts, up to 200,000 accounts.
(d) 10 cents for each account over 200,000 accounts, up to 500,000 accounts.
(e) 5 cents for each account over 500,000 accounts.Incorrect
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), when an issuer elects to utilize notice and access for a proxy distribution, there is an incremental fee based on all nominee accounts through which the issuer’s securities are beneficially owned as follows:-
(a) 25 cents for each account up to 10,000 accounts.
(b) 20 cents for each account over 10,000 accounts, up to 100,000 accounts.
(c) 15 cents for each account over 100,000 accounts, up to 200,000 accounts.
(d) 10 cents for each account over 200,000 accounts, up to 500,000 accounts.
(e) 5 cents for each account over 500,000 accounts. -
Question 8 of 10
8. Question
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), how much fee should be imposed for a nominee account that is a managed account and contains five or fewer shares or units of the security involved, notwithstanding any other provision of this Supplementary Material?
Correct
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), notwithstanding any other provision of this Supplementary Material, no fee shall be imposed for a nominee account that is a Managed Account (as hereinafter defined) and contains five or fewer shares or units of the security involved.
Incorrect
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), notwithstanding any other provision of this Supplementary Material, no fee shall be imposed for a nominee account that is a Managed Account (as hereinafter defined) and contains five or fewer shares or units of the security involved.
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Question 9 of 10
9. Question
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), how much fee should be imposed for a nominee account which contains only a fractional share, i.e., less than one share or unit of the security involved, notwithstanding any other provision of this Supplementary Material?
Correct
Notwithstanding any other provision of this Supplementary Material, no fee shall be imposed for any nominee account which contains only a fractional share, i.e., less than one share or unit of the security involved.
Incorrect
Notwithstanding any other provision of this Supplementary Material, no fee shall be imposed for any nominee account which contains only a fractional share, i.e., less than one share or unit of the security involved.
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Question 10 of 10
10. Question
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), how much supplemental fee should be paid during the period ending December 31, 2018, for each new account that elects, and each full package recipient among a brokerage firm’s accounts that converts to, electronic delivery while having access to an Enhanced Brokers’ Internet Platform (“EBIP”)?
Correct
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), During the period ending December 31, 2018, there shall be a supplemental fee of 99 cents for each new account that elects, and each full package recipient among a brokerage firm’s accounts that converts to, electronic delivery while having access to an Enhanced Brokers’ Internet Platform (“EBIP”).
Incorrect
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), During the period ending December 31, 2018, there shall be a supplemental fee of 99 cents for each new account that elects, and each full package recipient among a brokerage firm’s accounts that converts to, electronic delivery while having access to an Enhanced Brokers’ Internet Platform (“EBIP”).