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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Opens Accounts After Obtaining and Evaluating Customers' Financial Profile and Investment Objectives | 11% | - Customer accounts and documentation
|
| Topic 2: Seeks Business for the Broker-Dealer from Customers and Potential Customers | 9% | - Customer acquisition and prospecting
|
| Topic 3: Obtains and Verifies Customers' Purchase and Sale Instructions and Agreements; Processes, Completes and Confirms Transactions | 7% | - Trade execution and settlement
|
| Topic 4: Provides Customers with Information About Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Customer recommendations and transactions
|
1. Bubba buys one XYZ September 50 call at $7 and sells one XYZ September 60 call at $3. At that time,
XYZ stock is at $55. Bubba has no other stock positions. What is Bubba's maximum possible profit?
A) $500
B) $600
C) unlimited
D) $1,000
2. If a customer fails to pay for securities purchased in a cash account, the member firm broker will do which
of the following?
A) liquidate the securities or otherwise cancel the transaction
B) purchase the securities for the firm's error account
C) place the securities temporarily in a general account
D) grant an extension for a bona fide reason
3. The principal underwriter of an open-end investment company is frequently called:
A) sponsor
B) participating investment advisor
C) investment counselor
D) selling group member
4. When a corporation issues a nonconvertible debenture, what is the effect upon its net worth?
A) if decreases
B) if is unchanged
C) none of the above
D) it increases
5. The price an investor pays for a listed option is called the
A) exercise price
B) strike price
C) spread
D) premium
Solutions:
| Question # 1 Answer: B | Question # 2 Answer: A | Question # 3 Answer: A | Question # 4 Answer: B | Question # 5 Answer: D |
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