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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 intermediary unit fee should be paid for above 100,000 up to 300,000 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 2 of 10
2. 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 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 3 of 10
3. 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 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 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 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 Intermediary Unit Fee shall be 25 cents per account, with a minimum fee of $5,000.00 per soliciting entity as the case may be. Where there are separate solicitations by management and an opponent, the opponent is to be separately billed for the costs of its solicitation.
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 Intermediary Unit Fee shall be 25 cents per account, with a minimum fee of $5,000.00 per soliciting entity as the case may be. Where there are separate solicitations by management and an opponent, the opponent is to be separately billed for the costs of its solicitation.
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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 are the charges for the processing unit fee per account for each set of proxy follow-up material?
Correct
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), for each set of follow-up material, a Processing Unit Fee of 40 cents per account, except for those relating to an issuer’s annual meeting for the election of directors, for which the Processing Unit Fee shall be 20 cents per account.
Incorrect
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), for each set of follow-up material, a Processing Unit Fee of 40 cents per account, except for those relating to an issuer’s annual meeting for the election of directors, for which the Processing Unit Fee shall be 20 cents per account.
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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 are the charges for the processing unit fee per account for those relating to an issuer’s annual meeting for the election of directors?
Correct
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), for each set of follow-up material, a Processing Unit Fee of 40 cents per account, except for those relating to an issuer’s annual meeting for the election of directors, for which the Processing Unit Fee shall be 20 cents per account.
Incorrect
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), for each set of follow-up material, a Processing Unit Fee of 40 cents per account, except for those relating to an issuer’s annual meeting for the election of directors, for which the Processing Unit Fee shall be 20 cents per account.
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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 charges for providing beneficial ownership information are paid per name of the non-objecting beneficial owner (“NOBO”) provided to the issuer pursuant to the issuer’s request?
Correct
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), the charges for providing beneficial ownership information are six and one-half cents per name of the non-objecting beneficial owner (“NOBO”) provided to the issuer pursuant to the issuer’s request.
Incorrect
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), the charges for providing beneficial ownership information are six and one-half cents per name of the non-objecting beneficial owner (“NOBO”) provided to the issuer pursuant to the issuer’s request.
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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 fee should be paid per name for the first 10,000 names to the agent by the issuer, where the non-objecting beneficial ownership information is not furnished directly to the issuer by the member but is furnished through an agent designated by the member?
Correct
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), where the non-objecting beneficial ownership information is not furnished directly to the issuer by the member but is furnished through an agent designated by the member, the issuer will be expected to pay in addition the following fee to the agent:-
(a) 10 cents per name for the first 10,000 names or portion thereof.
(b) 5 cents per name for additional names up to 100,000 names.
(c) 4 cents per name above 100,000.Incorrect
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), where the non-objecting beneficial ownership information is not furnished directly to the issuer by the member but is furnished through an agent designated by the member, the issuer will be expected to pay in addition the following fee to the agent:-
(a) 10 cents per name for the first 10,000 names or portion thereof.
(b) 5 cents per name for additional names up to 100,000 names.
(c) 4 cents per name above 100,000. -
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 fee should be paid per name for above 10,000 up to 100,000 names to the agent by the issuer, where the non-objecting beneficial ownership information is not furnished directly to the issuer by the member but is furnished through an agent designated by the member?
Correct
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), where the non-objecting beneficial ownership information is not furnished directly to the issuer by the member but is furnished through an agent designated by the member, the issuer will be expected to pay in addition the following fee to the agent:-
(a) 10 cents per name for the first 10,000 names or portion thereof.
(b) 5 cents per name for additional names up to 100,000 names.
(c) 4 cents per name above 100,000.Incorrect
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), where the non-objecting beneficial ownership information is not furnished directly to the issuer by the member but is furnished through an agent designated by the member, the issuer will be expected to pay in addition the following fee to the agent:-
(a) 10 cents per name for the first 10,000 names or portion thereof.
(b) 5 cents per name for additional names up to 100,000 names.
(c) 4 cents per name above 100,000. -
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 fee should be paid per name for above 100,000 names to the agent by the issuer, where the non-objecting beneficial ownership information is not furnished directly to the issuer by the member but is furnished through an agent designated by the member?
Correct
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), where the non-objecting beneficial ownership information is not furnished directly to the issuer by the member but is furnished through an agent designated by the member, the issuer will be expected to pay in addition the following fee to the agent:-
(a) 10 cents per name for the first 10,000 names or portion thereof.
(b) 5 cents per name for additional names up to 100,000 names.
(c) 4 cents per name above 100,000.Incorrect
In the FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials), where the non-objecting beneficial ownership information is not furnished directly to the issuer by the member but is furnished through an agent designated by the member, the issuer will be expected to pay in addition the following fee to the agent:-
(a) 10 cents per name for the first 10,000 names or portion thereof.
(b) 5 cents per name for additional names up to 100,000 names.
(c) 4 cents per name above 100,000.