TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024
FINRA practice exam wrong Questions
and Answers | 100% Pass
The redemption value of an open-end investment company's shares is based on the -
Answer✔️✔️-NAV computed after the order is received
Upon expiration, all in-the-money S&P 100 index call options are settled by the delivery
of which of the following? - Answer✔️✔️-Cash
A decline in GDP must last for at least how many quarters to be considered a
recession? - Answer✔️✔️-2 quarters
Which of the following investments are generally traded according to their average life
rather than their stated maturity dates? - Answer✔️✔️-Asset-backed securities
In the event of a stock split, which of the following parties is required to maintain a
record of the shareholders eligible to receive the additional shares? - Answer✔️✔️-
transfer agent
Which of the following Form U4 reportable events results in a statutory disqualification?
- Answer✔️✔️-A felony conviction for a driving under the influence (DUI) charge
The owner of which of the following products is most exposed to inflationary risk? -
Answer✔️✔️-Treasury bonds (because it's long-term)
1/3
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024
FINRA practice exam wrong Questions
and Answers | 100% Pass
The redemption value of an open-end investment company's shares is based on the -
Answer✔️✔️-NAV computed after the order is received
Upon expiration, all in-the-money S&P 100 index call options are settled by the delivery
of which of the following? - Answer✔️✔️-Cash
A decline in GDP must last for at least how many quarters to be considered a
recession? - Answer✔️✔️-2 quarters
Which of the following investments are generally traded according to their average life
rather than their stated maturity dates? - Answer✔️✔️-Asset-backed securities
In the event of a stock split, which of the following parties is required to maintain a
record of the shareholders eligible to receive the additional shares? - Answer✔️✔️-
transfer agent
Which of the following Form U4 reportable events results in a statutory disqualification?
- Answer✔️✔️-A felony conviction for a driving under the influence (DUI) charge
The owner of which of the following products is most exposed to inflationary risk? -
Answer✔️✔️-Treasury bonds (because it's long-term)
1/3
