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Continuing Education Finance Questions

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Continuing Education Finance
A S6 registered representative may sell all of the following EXCEPT
  1. face-amt. certificates
  2. aggrssive growth mutual fund shares
  3. closed-end company shares in the secondary market
  4. unit investment trusts
Continuing Education Finance
If the SEC determines that a violation has occurred on inside information, what civil penalties are imposed?
  1. $5 m, 300% of profits made or losses avoided, may face criminal penalties of up to 20 years
  2. $10 m, 100% of profits made or losses avoided, 10 years
  3. no penalties
Continuing Education Finance
SIPC provides coverage up to $50,000
  1. w/ no more than $150,000 in cash
  2. w/ no more than $500,000 in cash
  3. w/ no more than $100,000 in cash
Continuing Education Finance
If a claim is not covered by SIPC in b/d bankruptcy, then the client
  1. becomes a preferred creditor
  2. becomes a general creditor
  3. becomes a secured creditor
Continuing Education Finance
Redemption of a no-load fund may be made at the
  1. NAV - the sales charge
  2. NAV
  3. POP
  4. NAV + the sales charge
Continuing Education Finance
Continuing Education Finance
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