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None Finance
What company uses deffered billing?
  1. Car Max
  2. Macy's
  3. Rooms To Go
  4. Home Depot
Continuing Education Finance
What is a customer's net worth is determined by
Grade 10 Finance
How is temperature different from heat?
College Finance
In a market value-adjusted (MVA) annuity, the insurance company assumes the interest rate risk.
  1. True
  2. False
College Finance
Millions of bonds are issued every year. Which of the following does not create bonds?
  1. Corporations
  2. U.S. Treasury
  3. Wilshire 5000
  4. Federal National Mortgage Association
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
This type of bond is sold easily
Continuing Education Finance
This provides tax-free investment income, are not suitable for retirement accounts. What is recommended?
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
Investment recommendations must be consistent with
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
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
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
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
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
Advertising and sales literature related to investment companis must be filed 10 days after first use.
  1. True
  2. False
College Finance
What are some of the things to consider when choosing a brokerage house?
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
Mutual funds shares that have been redeemed are cancelled; they are never
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