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Question 1/80
A registered representative (RR) receives a mutual fund order from a customer at 4:10 p.m. ET. Which of the following statements is true regarding this order?
Correct Answer: A
Mutual funds are traded based on forward pricing. Orders received after the market closes are executed at the NAV calculated at the next market close.
* A is correctbecause it aligns with forward pricing rules.
* B,C, andDare incorrect as they do not follow mutual fund trade practices.
* A is correctbecause it aligns with forward pricing rules.
* B,C, andDare incorrect as they do not follow mutual fund trade practices.
- Question List (80q)
- Question 1: A registered representative (RR) receives a mutual fund orde...
- Question 2: An investor sells shares of a closed-end fund at the market....
- Question 3: Which of the following is a reportable obligation with respe...
- Question 4: Which of the following statements is true of an index exchan...
- Question 5: Which of the following responses best describes a short sale...
- Question 6: An investor holds 1,000 shares of a stock with a total cost ...
- Question 7: Which of the following transactions gives a U.S. citizen the...
- Question 8: An investor is bullish on the technology sector and heavily ...
- Question 9: Which of the following entities settles broker-to-broker equ...
- Question 10: Which of the following disclosures is a municipal securities...
- Question 11: The civil penalty for an individual who is convicted of an i...
- Question 12: Which of the following is the primary risk of using asset al...
- Question 13: A customer owns 100 shares of ABC with a current market valu...
- Question 14: Company ABC stock currently trades on an exchange. An ABC in...
- Question 15: An individual investor has $300,000 in cash and $400,000 in ...
- Question 16: What is the sales load of an open-end investment company wit...
- Question 17: The formation of an asset-backed security or debt obligation...
- Question 18: When is it permissible to exercise European-style options co...
- Question 19: Which of the following listed securities carries voting righ...
- Question 20: Class A and Class C shares of a mutual fund differ in which ...
- Question 21: SIPC provides investor protection for its members' customers...
- Question 22: A rating agency downgrades a corporation's credit rating. Wh...
- Question 23: A customer buys 100 ABC at $50 and at the same time sells an...
- Question 24: Which of the following securities has the greatest investmen...
- Question 25: Which of the following strategies is an investor most likely...
- Question 26: Under SEC Regulation D, which of the following parties is co...
- Question 27: A customer purchased 100 shares of Company XYZ common stock ...
- Question 28: Which of the following responses best describes how member f...
- Question 29: How long are unused funds permitted to remain in a Coverdell...
- Question 30: A customer purchases $3,000 of XYZ, which settles today in a...
- Question 31: When is a newly registered person subject to the Continuing ...
- Question 32: A market maker quotes the market on an NMS equity security a...
- Question 33: A customer purchased $80,000 of Fund XYZ two years ago. He n...
- Question 34: On settlement date, a customer is unable to pay for a purcha...
- Question 35: Rising economic activity is most likely to increase revenues...
- Question 36: If an investor is bullish on ABC, which of the following act...
- Question 37: Which of the following statements is true about a corporatio...
- Question 38: Which of the following statements describes a characteristic...
- Question 39: A customer wants to open an account to trade covered calls a...
- Question 40: SEC Regulation S-P (Consumer Privacy) requires certain infor...
- Question 41: Company XYZ is a U.S.-based provider of domestic utility ser...
- Question 42: A currency devaluation impacts a country's economic activity...
- Question 43: An investor wants to purchase mutual fund shares, but she is...
- Question 44: A bond with a par value of $1,000 that is backed by the taxi...
- Question 45: Which of the following statements concerning nonqualified de...
- Question 46: A market maker quotes the market on an NMS equity security a...
- Question 47: A customer will be out of the country for the next two month...
- Question 48: A registered representative (RR) owns 500 shares of a thinly...
- Question 49: Which of the following responses describes a common feature ...
- Question 50: Which of the following activities is a responsibility of a m...
- Question 51: Pursuant to the Securities Act of 1933, registration is requ...
- Question 52: For a customer thinking about purchasing a high-income bond ...
- Question 53: Beta coefficient is a measure of:...
- Question 54: Which of the following statements is true with regard to SIP...
- Question 55: Which of the following is not a pass-through entity for tax ...
- Question 56: A customer has a stock position that has increased in value ...
- Question 57: A registered representative (RR) has a referral relationship...
- Question 58: The cash value of a variable life insurance policy is affect...
- Question 59: When are registered persons required to fulfill their Contin...
- Question 60: Which of the following rates is the interest rate at which b...
- Question 61: Which of the following terms describes an offer to purchase ...
- Question 62: Which of the following statements is true regarding 529 savi...
- Question 63: A broker-dealer (BD) creates a marketing postcard that inclu...
- Question 64: Which of the following responses best describes the primary ...
- Question 65: Which of the following risks are associated with Treasury se...
- Question 66: Under SEC Regulation A, which of the following market partic...
- Question 67: Under which of the following circumstances, if any, is it pe...
- Question 68: Which of the following responses describes a collateralized ...
- Question 69: Company XYZ files a registration statement for its initial p...
- Question 70: A customer wants to establish an account for the benefit of ...
- Question 71: Assume that the economy is operating at nearly full capacity...
- Question 72: Offering 403(b) tax-sheltered annuity accounts to which of t...
- Question 73: A registered representative (RR) opens a new account for a c...
- Question 74: Which of the following security types is frequently offered ...
- Question 75: Which of the following is considered nonpublic information?...
- Question 76: The process in which the buying firm must pay for the securi...
- Question 77: Which of the following statements best describes an American...
- Question 78: A summary prospectus for a mutual fund must contain which of...
- Question 79: A confirmation indicates a 100-share purchase of Company ABC...
- Question 80: Publicly traded limited partnership interests are typically ...
