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Continuing Education Finance Questions

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Continuing Education Finance
Form U-4 requires information on marital status & educational background.
  1. True
  2. False
Continuing Education Finance
Form U-4 requires the following:
name, address and any aliases used
5 yr residency history
10 yr employment history
charges, arrests, or convitions relating to the invesment of business
  1. True
  2. False
Continuing Education Finance
A social device for spreading the chance of financial loss among a large number of people is the definition of
  1. hazard
  2. risk
  3. insurance
  4. peril
Continuing Education Finance
This class share does not impose a front-end sales charge on the purchase, so all of the customer's funds are invested. Usually a 1% , typically a 12b-1 asset-based fee. This class may be less expenseiv than Class A or B shares, buat annual expense can be higher than Class A & B if held for a long time.
Continuing Education Finance
b. Specifies how violations of the Conduct Rules are handled
e. Ensures that trade practices between members are consistent
d. Must be sent to a customer at least annually
c. governs the resolution of disputes between members
a. must be simple
Continuing Education Finance
What is a customer's net worth is determined by
Continuing Education Finance
May offer breakpoints and offer rights of accumulation
  1. Class A
  2. Class B
  3. Class C
  4. No load
Continuing Education Finance
This written communication must be approved by a principal before its use-letter sent to 30 prospective customers offering advice about a stock
  1. True
  2. False
Continuing Education Finance
Advertising and sales literature related to investment companis must be filed 10 days after first use.
  1. True
  2. False
Continuing Education Finance
The no-approval clause must be included in the prospectus.
  1. True
  2. False
Continuing Education Finance
The total average annual return quotations must be for one, five and 20 year periods or since inception if the fund is new.
  1. True
  2. False
Continuing Education Finance
Independently Prepared Reprints (IPR), relating to investment companies must be filed with FINRA within 10 days of first use (postfiling).
  1. True
  2. False
Continuing Education Finance
The regulatory element of continuing education req. must be completed within 120 dys of a person's 2nd registration anniversary and every 3 yrs thereafter. Registration that remains inactive after 2 years are terminated.
  1. True
  2. False
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
This type of bond is sold easily
Continuing Education Finance
Under the Telephone Consumer Protection Act (TCPA) of 1991, administered by the Federal Communications Commission (FCC)consumers, businesses, and state authorities may sue
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
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
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
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