Which corporate bonds are NOT secured?
First mortgage bonds
Second mortgage bonds
Guaranteed bonds
Equipment trust certificates
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Guaranteed bonds
,All of the following are trades that take place in the Second Market EXCEPT trades of:
OTCBB securities
Municipal bonds
U.S. Government bonds
NYSE listed securities on the exchange floor
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D
NYSE listed securities on the exchange floor
Which statement is TRUE regarding Individual Retirement Accounts?
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B
Investment in U.S. minted gold coins is permitted
If a person is convicted of insider trading:
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C
payments are made to the Department of Treasury
After exercising an equity options contract, the trade settles:
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, B
2 business days after trade date
Fixed UITs issue:
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D
redeemable securities and are non-managed
What can an officer of a company say in a speech given at a road show during the 20-
day cooling off period for an Initial Public Offering?
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B
"Our company has grown its earnings by an average of 20% yearly over the
past 5 years"
The FINRA suitability rule requires a progression of suitability determinations. Which
factor should be examined first?
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C
Reasonable basis suitability
, Which term BEST describes an ETF?
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A
Stock
Treasury notes and bonds are:
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fully registered in book entry form
A variable annuity sponsor wants to give an incentive to promote the sale of its
products by the firms in the variable annuity selling group. To increase sales in the
typically slow month of December, the sponsor is offering 4 Super Bowl tickets, along
with paid travel expenses to and from the game for those 4 individuals, to the
representative with the highest production number in December. Under FINRA rules,
this is an example of:
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D
non-cash compensation and is prohibited
A municipality is at its constitutional debt limit. Voter approval would be required for a
municipality to float a(n):
First mortgage bonds
Second mortgage bonds
Guaranteed bonds
Equipment trust certificates
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Guaranteed bonds
,All of the following are trades that take place in the Second Market EXCEPT trades of:
OTCBB securities
Municipal bonds
U.S. Government bonds
NYSE listed securities on the exchange floor
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D
NYSE listed securities on the exchange floor
Which statement is TRUE regarding Individual Retirement Accounts?
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B
Investment in U.S. minted gold coins is permitted
If a person is convicted of insider trading:
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C
payments are made to the Department of Treasury
After exercising an equity options contract, the trade settles:
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, B
2 business days after trade date
Fixed UITs issue:
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D
redeemable securities and are non-managed
What can an officer of a company say in a speech given at a road show during the 20-
day cooling off period for an Initial Public Offering?
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B
"Our company has grown its earnings by an average of 20% yearly over the
past 5 years"
The FINRA suitability rule requires a progression of suitability determinations. Which
factor should be examined first?
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C
Reasonable basis suitability
, Which term BEST describes an ETF?
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A
Stock
Treasury notes and bonds are:
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fully registered in book entry form
A variable annuity sponsor wants to give an incentive to promote the sale of its
products by the firms in the variable annuity selling group. To increase sales in the
typically slow month of December, the sponsor is offering 4 Super Bowl tickets, along
with paid travel expenses to and from the game for those 4 individuals, to the
representative with the highest production number in December. Under FINRA rules,
this is an example of:
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D
non-cash compensation and is prohibited
A municipality is at its constitutional debt limit. Voter approval would be required for a
municipality to float a(n):
