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Question 1 of 10
1. Question
Which of the following is not a part of the NYSE Rule 123D – Designated market makers (DMMs):
Correct
NYSE Rule 123D – Designated market makers (DMMs) are to ensure that registered securities open as close to the opening bell as possible
A. Equipment changeover
B. Investment company units or index-linked securities
C. Dissemination of net asset valueIncorrect
NYSE Rule 123D – Designated market makers (DMMs) are to ensure that registered securities open as close to the opening bell as possible
A. Equipment changeover
B. Investment company units or index-linked securities
C. Dissemination of net asset value -
Question 2 of 10
2. Question
IPO must be notified to SEC, who is obliged to notify NASDAQ the IPO has been released by the SEC:
Correct
it is the obligation of the lead underwriter to notify NASDAQ the IPO has been released by the SEC.
Incorrect
it is the obligation of the lead underwriter to notify NASDAQ the IPO has been released by the SEC.
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Question 3 of 10
3. Question
The general decrease in prices is reflected the best as which of the following term:
Correct
Deflation refers to a decline in the general price level of goods, usually as measured by the consumer price index (CPI) or the producer price index (PPI).
Incorrect
Deflation refers to a decline in the general price level of goods, usually as measured by the consumer price index (CPI) or the producer price index (PPI).
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Question 4 of 10
4. Question
______ means that the strike price and market value of the stock are such that exercising the option would be a gain for the investor:
Correct
“In the money” means that the strike price and market value of the stock are such that exercising the option would be a gain for the investor
Incorrect
“In the money” means that the strike price and market value of the stock are such that exercising the option would be a gain for the investor
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Question 5 of 10
5. Question
Which of the following are not backed with government power, but nonetheless are granted limited power and authority to enforce regulations and standards within their industry and over the members belonging to the organization:
Correct
SROs are self-regulatory organizations. These types of organizations are not backed with government power, but nonetheless are granted limited power and authority to enforce regulations and standards within their industry and over the members belonging to the organization
Incorrect
SROs are self-regulatory organizations. These types of organizations are not backed with government power, but nonetheless are granted limited power and authority to enforce regulations and standards within their industry and over the members belonging to the organization
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Question 6 of 10
6. Question
Which of the form is filed by a broker dealer upon a registered representative’s departure from the firm:
Correct
The Form U-5 is the form filed by a broker dealer upon a registered representative’s departure from the firm
Incorrect
The Form U-5 is the form filed by a broker dealer upon a registered representative’s departure from the firm
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Question 7 of 10
7. Question
Each of the following statement is TRUE regarding the Research reports EXCEPT:
Correct
Research reports are any documents which communicate information related to the characteristics, strengths, and weaknesses of some particular stock, financial instrument, industry, commodity, or geographic region.
These reports are generally prepared by investment research teams.
Research reports need not be done “in house,” but can also be performed by a third party
Incorrect
Research reports are any documents which communicate information related to the characteristics, strengths, and weaknesses of some particular stock, financial instrument, industry, commodity, or geographic region.
These reports are generally prepared by investment research teams.
Research reports need not be done “in house,” but can also be performed by a third party
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Question 8 of 10
8. Question
______ are the durations of time when an issuer of initial public offerings (IPOs) are forbidden by the SEC from publicly promoting themselves, including the publication of research reports.
Correct
Quiet periods are the durations of time when an issuer of initial public offerings (IPOs) are forbidden by the SEC from publicly promoting themselves, including the publication of research reports.
Incorrect
Quiet periods are the durations of time when an issuer of initial public offerings (IPOs) are forbidden by the SEC from publicly promoting themselves, including the publication of research reports.
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Question 9 of 10
9. Question
Which of the following advertisements are related to specific municipal securities, issues of municipal securities, or features of municipal securities:
Correct
Product advertisements are advertisements related to specific municipal securities, issues of municipal securities, or features of
municipal securitiesIncorrect
Product advertisements are advertisements related to specific municipal securities, issues of municipal securities, or features of
municipal securities -
Question 10 of 10
10. Question
Which of the following statement is NOT true regarding the Investment Advisers Act of 1940:
Correct
The Investment Advisers Act of 1940 prohibits investment advisers from providing their services to any government client for a period of two years following any political contribution they have made. And this rule applies not merely to those who make contributions to officials who are elected or to officials who later become elected, but to all officials who may become elected. Furthermore, advisers are forbidden from soliciting contributions for various officials or candidates if he is also pursuing or providing business with the government.
Incorrect
The Investment Advisers Act of 1940 prohibits investment advisers from providing their services to any government client for a period of two years following any political contribution they have made. And this rule applies not merely to those who make contributions to officials who are elected or to officials who later become elected, but to all officials who may become elected. Furthermore, advisers are forbidden from soliciting contributions for various officials or candidates if he is also pursuing or providing business with the government.