Direct participation programs provide
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exposure to non-correlated assets with steady returns
Under industry regulations, an initial purchase of $3,000 of common stock in a margin
account requires a cash deposit of:
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$2,000
A registered representative who wants to place a mutual fund advertisement must
obtain written approval from which party?
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A registered principle at the RR's firm.
An investor owns 100 shares of XYZ common stock at the current market price of $50
per share. If XYZ conducts a 1-for-2 reverse stock split, the investor's post-split stock
position will be:
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50 shares at $100 per share.
No-load mutual funds may have lower expense ratios than load mutual funds for
which of the following reasons?
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No load funds are not permitted to charge a 12b-1 fee greater than 25 basis
points.
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exposure to non-correlated assets with steady returns
Under industry regulations, an initial purchase of $3,000 of common stock in a margin
account requires a cash deposit of:
, Give this one a try later!
$2,000
A registered representative who wants to place a mutual fund advertisement must
obtain written approval from which party?
Give this one a try later!
A registered principle at the RR's firm.
An investor owns 100 shares of XYZ common stock at the current market price of $50
per share. If XYZ conducts a 1-for-2 reverse stock split, the investor's post-split stock
position will be:
Give this one a try later!
50 shares at $100 per share.
No-load mutual funds may have lower expense ratios than load mutual funds for
which of the following reasons?
Give this one a try later!
No load funds are not permitted to charge a 12b-1 fee greater than 25 basis
points.
