1 of 100
Term
Which statement is FALSE about both Coverdell ESAs and 529
Plans?
Give this one a try later!
There is no limit on the amount
At, or prior to confirmation of the
that can be contributed into
purchase
each
, The new adult must take control of
short stock/ short put
the account
Don't know?
2 of 100
Term
Which statement is TRUE regarding a minor in a custodial account
opened under UGMA reaching legal age?
Give this one a try later!
The minor retains control until age The new adult must take
25 control of the account
The account is automatically closed The account must be liquidated
upon reaching legal age immediately
Don't know?
3 of 100
Term
What is quoted in terms of yield and trades at a discount?
Give this one a try later!
, T-bonds Municipal Bonds
Mutual Funds T-Bills
Don't know?
4 of 100
Term
An investor who accumulates a 5% or greater position in the
common stock of a registered issuer must file which of the following
forms with the SEC?
Give this one a try later!
form 8-k form 10-k
form s-1 13D
Don't know?
, 5 of 100
Term
A bond trade takes place at 10:00 AM on Monday, July 10th for "cash."
Settlement takes place:
Give this one a try later!
at the end of the trading day on july
before 2:30 PM on July 10th
10th
on july 11th at 10:00 am after 2:30 Pm on July 10th
Don't know?
6 of 100
Term
The term "mutual fund" is the common name for a(n):
Give this one a try later!
OPEN END management
Participating Unit investment trust
company
Finance Imports and exports Fixed Unit investment trust
Term
Which statement is FALSE about both Coverdell ESAs and 529
Plans?
Give this one a try later!
There is no limit on the amount
At, or prior to confirmation of the
that can be contributed into
purchase
each
, The new adult must take control of
short stock/ short put
the account
Don't know?
2 of 100
Term
Which statement is TRUE regarding a minor in a custodial account
opened under UGMA reaching legal age?
Give this one a try later!
The minor retains control until age The new adult must take
25 control of the account
The account is automatically closed The account must be liquidated
upon reaching legal age immediately
Don't know?
3 of 100
Term
What is quoted in terms of yield and trades at a discount?
Give this one a try later!
, T-bonds Municipal Bonds
Mutual Funds T-Bills
Don't know?
4 of 100
Term
An investor who accumulates a 5% or greater position in the
common stock of a registered issuer must file which of the following
forms with the SEC?
Give this one a try later!
form 8-k form 10-k
form s-1 13D
Don't know?
, 5 of 100
Term
A bond trade takes place at 10:00 AM on Monday, July 10th for "cash."
Settlement takes place:
Give this one a try later!
at the end of the trading day on july
before 2:30 PM on July 10th
10th
on july 11th at 10:00 am after 2:30 Pm on July 10th
Don't know?
6 of 100
Term
The term "mutual fund" is the common name for a(n):
Give this one a try later!
OPEN END management
Participating Unit investment trust
company
Finance Imports and exports Fixed Unit investment trust
