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質問 1：
Options are quoted daily in the newspapers. The listing provides the name of the underlying stock and:
A. Its closing price that day
B. The closing prices (premiums) of the 3 call and 3 put contracts trading closest to expiration
C. Its closing price that day, the strike price of the option, the closing prices(premiums) of thecall and 3 put contracts trading closest to expiration
D. The strike price of the option
正解：C
質問 2：
____________ are the instruments with maturities of 30 years for new issues (10-to-30-years issues were allowed in the past). The amounts range from $1,000 to $1,000,000 and are sold at auction in a manner similar to that for treasury notes.
A. Treasury receipts
B. Treasury bonds
C. Treasury bills
D. Treasury notes
正解：B
質問 3：
The Federal Reserve System interacts with foreign central banks include:
A. Bank of International Settlements (BIS) and European Central Bank (ECB)
B. Bank of Investment Settlements (BIS) and European Countries Bank (ECB)
C. None of these
D. Only Bank of International Settlements (BIS)
正解：A
質問 4：
Call provisions are often part of ______________, but usually not bonds issued by ______________.
A. Corporate and municipal bonds, bonds issued by Federal Government
B. None of these
C. Corporate bonds, Zero coupon bonds
D. Zero coupon bond, Federal Government bonds
正解：A
質問 5：
The term umbrella market segmentation is referred to:
A. Financial services
B. Brokerage Houses
C. Insurance companies
D. Banks
正解：A
質問 6：
Insurance companies assist individuals in managing personal risk through risk pooling. Risk pooling is based on fact that the probability of any one type of loss occurring for a given individual is small. Therefore insurers can insure:
A. A large number of people against a given peril, based on the knowledge that a largepercentage of those insured will ever file a claim for the particular peril
B. Only few people against a given peril, based on the knowledge that only a small percentage of those insured will ever file a claim for the particular peril
C. A large number of people against a given peril, based on the knowledge that only a smallpercentage of those insured will ever file a claim for the particular peril
D. None of these
正解：C
質問 7：
The interagency statement calls for these disclosures to be provided EXCEPT:
A. Orally when investment advice concerning the non deposit investment products is provided
B. None of these
C. Orally during any sales presentation
D. In advertisement and other promotional materials as specified in the interagency statement
正解：B
質問 8：
Insurance is a method of transferring, for a fee, the financing responsibility for the risk to another party. Insurance polices are legal contracts. There are four elements that constitute a legal, binding contract. Which of the following is NOT out of those elements?
A. Periodic review
B. Legal purpose
C. Agreement
D. Competent parties
正解：A
Options are quoted daily in the newspapers. The listing provides the name of the underlying stock and:
A. Its closing price that day
B. The closing prices (premiums) of the 3 call and 3 put contracts trading closest to expiration
C. Its closing price that day, the strike price of the option, the closing prices(premiums) of thecall and 3 put contracts trading closest to expiration
D. The strike price of the option
正解：C
質問 2：
____________ are the instruments with maturities of 30 years for new issues (10-to-30-years issues were allowed in the past). The amounts range from $1,000 to $1,000,000 and are sold at auction in a manner similar to that for treasury notes.
A. Treasury receipts
B. Treasury bonds
C. Treasury bills
D. Treasury notes
正解：B
質問 3：
The Federal Reserve System interacts with foreign central banks include:
A. Bank of International Settlements (BIS) and European Central Bank (ECB)
B. Bank of Investment Settlements (BIS) and European Countries Bank (ECB)
C. None of these
D. Only Bank of International Settlements (BIS)
正解：A
質問 4：
Call provisions are often part of ______________, but usually not bonds issued by ______________.
A. Corporate and municipal bonds, bonds issued by Federal Government
B. None of these
C. Corporate bonds, Zero coupon bonds
D. Zero coupon bond, Federal Government bonds
正解：A
質問 5：
The term umbrella market segmentation is referred to:
A. Financial services
B. Brokerage Houses
C. Insurance companies
D. Banks
正解：A
質問 6：
Insurance companies assist individuals in managing personal risk through risk pooling. Risk pooling is based on fact that the probability of any one type of loss occurring for a given individual is small. Therefore insurers can insure:
A. A large number of people against a given peril, based on the knowledge that a largepercentage of those insured will ever file a claim for the particular peril
B. Only few people against a given peril, based on the knowledge that only a small percentage of those insured will ever file a claim for the particular peril
C. A large number of people against a given peril, based on the knowledge that only a smallpercentage of those insured will ever file a claim for the particular peril
D. None of these
正解：C
質問 7：
The interagency statement calls for these disclosures to be provided EXCEPT:
A. Orally when investment advice concerning the non deposit investment products is provided
B. None of these
C. Orally during any sales presentation
D. In advertisement and other promotional materials as specified in the interagency statement
正解：B
質問 8：
Insurance is a method of transferring, for a fee, the financing responsibility for the risk to another party. Insurance polices are legal contracts. There are four elements that constitute a legal, binding contract. Which of the following is NOT out of those elements?
A. Periodic review
B. Legal purpose
C. Agreement
D. Competent parties
正解：A
Hayama -
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