According to FINRA Conduct Rules, a party judged guilty of a rule infraction by the District Business Conduct Committee may then appeal to:
A. the FINRA Board of Arbitration
B. the SEC
C. the FINRA Board of Governors
D. the public court system
正解:C
解説: (Pass4Test メンバーにのみ表示されます)
質問 2:
An issuer is most likely to request an investment letter from the purchaser in connection with which of the offerings?
A. a private placement
B. an exempt security
C. a hot issue
D. a mutual fund
正解:A
解説: (Pass4Test メンバーにのみ表示されます)
質問 3:
The maximum contribution an employer may make to a SEP-IRA is:
A. 25% of employee compensation
B. $5,000
C. 100% of employee compensation
D. $4,000
正解:A
解説: (Pass4Test メンバーにのみ表示されます)
質問 4:
Book value of a corporation is also known as:
A. par value
B. intangible value
C. dilution value
D. net tangible asset value per share
正解:D
解説: (Pass4Test メンバーにのみ表示されます)
質問 5:
Which of the following does not appear in the official notice of sale?
A. method and place of settlement
B. an offering scale of serial maturates
C. denominations and registration privileges
D. amount of good faith check required
正解:B
解説: (Pass4Test メンバーにのみ表示されます)
質問 6:
Smart Company, Inc., has cash it intends to use in six months for purchase of equipment. The most prudent investment during the six-month period is:
A. treasury bonds
B. common stock
C. treasury bills
D. preferred stock
正解:C
解説: (Pass4Test メンバーにのみ表示されます)
Tokuzawa -
試験に合格するために必須の基本知識がこのSeries-7問題集一つでで短時間に修得できると思います。Pass4Testの問題集はいつも素敵でございますね。