Eustace

What type of fund can issue more than one type of security? - ANS - Closed-end funds. They can issue common & preferred stock, and bonds. Open-end can only issue redeemable common stock. What are some key features of the Securities Exchange Act of 1934? - ANS - (The People Act) it requires registration of people and exchanges transacting securities business in order to prevent manipulative and deceptive practices. The Act of 1934 also created the SEC and mandated the creation of SROs. How...

What factors determine the number of annuity units an investor will receive after annuitizing a variable annuity? - ANS - 1) The payout option 2) Assumed interest rate (AIR) 3) The annuitant's age 4) The annuitant's gender Who must sign a new account form? - ANS - The two signatures required on a new account form are from the registered representative and the principal. What is the purpose of the form U-4? - ANS - The purpose of the form U-4 is to register a registered representative w...

On the 2-year anniversary of their registration and every 3 years thereafter. - >>>>When must RRs complete the Regulatory Element of Continuing Education? True - >>>>True or False: Firm Element Continuing Education requires BDs to update employees on job and product-related subjects. U4 - >>>>To apply for a securities license, one must file Form _____ with FINRA. Action (buy/sell), Amount (quantity), and Asset (security) - >>>>What three items...

A futures clearinghouse makes possible the closing out of a futures position by an offsetting market transaction - ANS - True Scalper - ANS - another name for a day trader. Which of the following items in a futures contract is standardized? - ANS - The size - the amount of the underlying item covered by the contract Similar futures contracts can be traded on: - ANS - Multiple exchanges regardless of location The first notice day is: - ANS - The first day a short can issue a delivery notice...

1. Which of the following is NOT a loan origination activity? - ANS - C. Assisting in a loan modification 2. A unilateral contract is binding on: - ANS - A. One party 3. Loan originator organizations must keep compensation records for how many years? - ANS - C. Three 4. Mortgage companies must submit a residential loan origination activity report to the NMLSR every: - ANS - B. Three months 5. How many years must loan originator applicants wait after a felony fraud conviction, in order to...

How does Tom differ from his half-brother sid - ANS - Tom is mischievous & Sid is the nice boy Why does aunt Polly ask Tom so many questions at the dinner table - ANS - Aunt Polly has a good feeling he played hooky and she wants him to confess How does and Polly discover Tom has played hooky - ANS - Sid noticed that the thread that threaded Toms collar was a different color How does and probably punish Tom for playing hooky at school - ANS - She makes him white wash the fence Why won't ...

where did Tom walker live? - ANS - Boston, Massachusetts- Charles Bay what was buried under one of the trees in the inlet? - ANS - great amount of treasure buried by Kidd the pirate what year did the story take place? - ANS - 1727 where did the devil live or hang around? - ANS - by Kidd the pirate's treasure, protected it. how did Tom and his wife get along? - ANS - badly- cheated on eachother, fights- verbal and physical where Tom was taking his short cut, where was he walking on? - ANS...

____ is the MOST SIGNIFICANT HAZARD threatening industrial facilities. - >>>>FIRE is the ____________________ threatening industrial facilities. A _________ organization should ______ developed to handle emergency situations, but existing organizations ________ be prepared to take care of the situations. - >>>>A NEW organization should NOT BE developed to handle emergency situations, but existing organizations SHOULD be prepared to take care of the situations. A ___...

Which collection points are the patient most likely to pay during? - ANS - Pre-admission and admission 5 collection control points - ANS - -admission sion -house discharge discharge Which percentage should be pre-registered within 24 hours of service date? - ANS - 70% to 90% Patient access responsibilities - ANS - uling - registration & pre-admission testing (pat) -certification & pre-authorization ient admitting & outpatient registration 5. Insurance verification 6. Financial cou...

What is Canadian foreign policy? Some Initial Observations - ANS - Foreign policy is the prerogative of governments It's about issues that extend across state borders State power is a key concern It increasingly blurs 'high' and 'low' politics What determines Canadian foreign policy? International Setting - ANS - International environment creates background constraints and opportunities Group membership is important Features of the international environment shape state power What ...

Holly bought a stock at the margin requirement, when the stock was trading at $10. The stock paid quarterly dividends of $.25. Holly held the stock for one year and sold the stock when it was trading at $11. What was Holly's holding period return? A. 10% B. 20% C. 30% D. 40% - ANS - 40% The first key to this question is knowing that the margin requirement is 50%, which is established by the Federal Reserve. So, Holly is required to pay $10 × .50 = $5 in cash and borrow the other $5 pe...

Which of the following is incorrect as a response to the following statement: An Adjustable Rate Mortgage (ARM) may be an appropriate choice if: a. A person is able to pay the mortgage off or down substantially (whether from the sale of the home or use of liquid assets) prior to the interest rate adjustment b. A person can accept and has the financial ability to absorb the interest-rate risk of the ARM. c. Interest rates are expected to increase and the risk tolerance of the individual is l...

You are creating a set of system views. Which three options can you configure for the views? Each correct answer presents a complete solution. A. read, write, and delete permissions B. append, assign, and share permissions C. default sort order for results D. the widths of each column E. the columns to display - ANS - cde You create a Publisher and add entities to a solution. What are two outcomes of this action? Each correct answer presents a complete solution. A. The name for existin...

What does the word 'language' mean in RUAE? - >>>>Any writing term What is the effect of a one sentence paragraph? - >>>>Impact/Suddenness of idea What are 2 features of effective conclusions? - >>>>1. Sum up 2. Link back to earlier Where does a linking sentence typically appear? - >>>>THE START OF THE SECOND PARAGRAPH Explain the steps to answering a link question. - >>>>1. Quote the bit of the link sentence that links back S...

If an array is facing south at equinox at noon, what must the tilt angle be in order for the array to face directly at the sun at latitude 30? - ANS - A. 33 degrees B. 48 degrees C. 18 degrees D. 30 degrees The temperature rating of the insulation of a conductor when designing a PV system effects the - ANS - A. ability of the wire to withstand fire B. ability of the wire to withstand smoke C. ability of the wire to carry current D. ability of the wire to withstand physical damag When a...

what kind of ground faults do most inverters detect? voltage m voltage c.AC d.DC - ANS - D. Inverters detect dc ground faults(when positive in contact with ground wire)in most inverters. Current carrying ability of a conductor(wire)is called. a.Ampacity b. Amps c. inductance d. insolation - ANS - A. Current carrying ability is ampacity According to ohms law and voltage drop, the relationship between voltage and current is. a. Proportional b.Inversely proportional c.Directly invers...

What is Six Sigma? - ANS - A "sigma" is a term used to denote variance from the mean average of an event. Six Sigma originally referred to the ability of manufacturing processes to produce a very high proportion of output within specification. Six Sigma is an improvement methodology which uses the following phases to make changes to any process: Defining, Measuring, Analyzing, Improving, and Controlling. Six Sigma measures the capability of a process to perform defect-free work with a fai...

INSTRUCTIONS: Your task is to study the various pieces of information and try to understand how they relate to one another. In this section mark your answer with the letter (in Capitalized form). Identify the next number in the series: 45, 42, 39, 36, 33..... A. 29 B. 35 C. 32 D. 30 - ANS - D In the three-legged race, Aaron finished after Bruce, but before Carl. In what order did the participants finish? A. Carl, Aaron, Bruce B. Aaron, Carl, Bruce C. Bruce, Aaron, Carl D. Carl, Bru...

Identify the sentence that is most clearly written, by marking the corresponding letter of the sentence choice A. Julie was happy to get back to her life after the trial she felt she received justice B. Julie was happy to get back to her life after the trial. She felt she received justice. - ANS - B. Julie was happy to get back to her life after the trial. She felt she received justice.(answer a is a run on sentence) A. Marge told Ruth Marge's supervisor wanted to speak with Ruth. B. Mar...

Instructions: In the following pairs of sentences identify the sentence that is most clearly written. If sentence (a) is more clear than sentence (b), then the correct answer is A and vice versa. A. The recidivism rate for older criminals was much higher than for younger criminals. B. The recidivism rate for older criminals was much higher than younger. - ANS - A A. Denise remembered with a start. That she had forgotten to lock her house door. B. Denise remembered with a start that she had ...