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Knopman Marks Securities Industry Essentials Flash Cards (SIE) Questions With Complete Solutions

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Do the following Investment Companies/Products offer continuous share offering or fixed share counts? Mutual Funds Closed-End Funds UIT ETF correct answer: Mutual Funds: Continuous Closed-End Funds: Fixed UIT: Fixed ETF: Fixed What Term signifies that a share of common stock can be freely transferred, assigned, or delivered to another entity? a) Fungible b)Negotiable c)Portable d)Endorsable correct answer: b - A negotiable security is one that can be freely transferred, assigned, or delivered. Note that not all securities are negotiable. ABC Company is paying a quarterly dividend to common stockholders. On which date must an investor legally own shares, on the books of the issuer, to be entitled to receive the divided? a) Declaration Date b) Record Date c) Payable Date d)Ex-dividend Date correct answer: b - The dividend is announced by the board on the declaration date. It i

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