Series-7 Exam Dumps | Bubba opens a new account with a broker/dealer and asks for a copy of the firm's financial statement.

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Question 386/390

Bubba opens a new account with a broker/dealer and asks for a copy of the firm's financial statement. If the firm has not been subject to a formal audit by an independent public accountant for quite some time, what should it do in response to the request?

A. give Bubba its latest available statement

B. wait until after the next audit is completed before providing a statement to Bubba

C. delay sending a statement until Bubba has had an account with the firm for at least six months

D. refuse to provide a financial statement

Question List (390q): Question 1: Which of the following are sources of funding for limited pa...; Question 2: The Bubba Corporation is offering stock to the public for th...; Question 3: Which of the following sources provides news of prospective ...; Question 4: Which of the following types of investment companies pays ou...; Question 5: Which of the following option positions is indicative of the...; Question 6: The net investment income of an open-end investment company ...; Question 7: Which of the following statements incorrectly describes US s...; Question 8: For a self-employed individual's retirement plan, ERISA perm...; Question 9: Which of the following is a benefit of Section 8 low-income ...; Question 10: Municipal bond brokers generally conduct the following:...; Question 11: An option that permits the holder to exercise the contract o...; Question 12: Under what circumstances may a municipal securities dealer g...; Question 13: When a corporation dissolves, who gets paid first?...; Question 14: A wealth investor gives Bubba discretion to invest $50,000 f...; Question 15: Which of the following is identified as a funded debt instru...; Question 16: The Securities Act of 1933 provides for:...; Question 17: Bubba has a short margin account with a short market value o...; Question 18: Bubba buys an OTC stock from a firm that is a market -maker ...; Question 19: A market-maker has purchased a particular stock over a perio...; Question 20: Bubba has several accounts at a brokerage firm. Which of the...; Question 21: Bubba is long spot Canadian dollars at 0.7400. If he wants t...; Question 22: Bubba owns stock with cumulative voting rights. There are fi...; Question 23: Bubba buys a municipal bond at a discount and holds it to ma...; Question 24: According to FINRA Conduct Rules, a party judged guilty of a...; Question 25: The maximum contribution an employer may make to a SEP-IRA i...; Question 26: An excerpt from a recent tombstone ad reveals bonds offered ...; Question 27: A CMO is issued that has three tranches. One has an average ...; Question 28: Which of the following statements is not true about exchange...; Question 29: To accommodate a customer's order to buy an over-the-counter...; Question 30: In stabilizing a new issue, the manager may make a "syndicat...; Question 31: Provisions of SEC Rule 145 normally apply to an exchange of ...; Question 32: When pricing callable municipal bonds, the "price to call" i...; Question 33: Bubba's order to purchase investment company shares must be ...; Question 34: How many days after the settlement date must a broker/dealer...; Question 35: The most common type of bond issued by a well-established co...; Question 36: Which of the following are not flat rate taxes?...; Question 37: Book value of a corporation is also known as:...; Question 38: Big Easy Investment Banking, Inc., participates in a Western...; Question 39: In a monthly review of customer statements, Bubba notices th...; Question 40: Bubba buys a 5% municipal bond maturing in 15 years that is ...; Question 41: Bubba opens an account at a broker/dealer with instructions ...; Question 42: Distribution from an IRA can begin at age 59½ and must begin...; Question 43: Under Regulation T, when must money be deposited to cover re...; Question 44: A trust instrument drawn pursuant to the Trust Indenture Act...; Question 45: Which of the following is the least important method of mone...; Question 46: Bubba Brokerage Corporation announces through its wire syste...; Question 47: For what time period does a Form 144 remain in effect?...; Question 48: A withdrawal from a Roth IRA may be a qualified distribution...; Question 49: Bubba's pledge to purchase a specified dollar amount of a mu...; Question 50: Bubba opens a margin account and sells short 100 shares of X...; Question 51: Bubba buys "double-barreled" municipal bonds. What is the so...; Question 52: In considering the fairness of a firm's markup, the FINRA co...; Question 53: Which of the following are considered to be discretionary or...; Question 54: Under an initial federal requirement of 70% equity, Bubba pu...; Question 55: In a firm commitment offering, any shares that are not sold ...; Question 56: If a municipality has funds available to make a partial call...; Question 57: Under which of the following was SIPC established?...; Question 58: Bubba wants to buy a $4 convertible preferred with that has ...; Question 59: When does a call option provide the most value to its holder...; Question 60: Bubba has a short margin account with equity of $15,000 and ...; Question 61: Which of the following sets out the details for the manageme...; Question 62: Prospective bidders for a municipal bond being issued should...; Question 63: What is the importance of the "at risk" rule?...; Question 64: Convertible preferred stock has all of the following charact...; Question 65: Which of the following is an analyst most likely to classify...; Question 66: What does the following mean when printed on the stock excha...; Question 67: Which of the following does not decrease basis?...; Question 68: Which of the following persons would consider annual reports...; Question 69: What type of security is quoted with a bid price of 4.72 and...; Question 70: A registered bond with "Happy Birthday" scrawled across the ...; Question 71: Which of the following is normally the largest asset of a ma...; Question 72: Which of the following sets of prices is that of a closed-en...; Question 73: Under the terms of the 1970 Securities Investor Protection A...; Question 74: If the Federal Reserve wished to ease credit, which of the f...; Question 75: A corporation makes a rights offering to raise $10 million o...; Question 76: Which of the information below does not appear in the offici...; Question 77: Which bond buyer index reflects the lowest average yield for...; Question 78: Bubba plans to borrow some money and pledge securities as co...; Question 79: Convertible bonds have all of the following features except:...; Question 80: Which of the following forms of underwriting is least likely...; Question 81: The price an investor pays for a listed option is called the...; Question 82: If federal excise taxes were increased by the government, wh...; Question 83: Which of the following is associated with an income oil and ...; Question 84: When a corporation issues a nonconvertible debenture, what i...; Question 85: How often must Investment companies issue financial statemen...; Question 86: Regulation T is set at 50%. Bubba's account contains long po...; Question 87: The term "mutual fund" is popularly used for which of the fo...; Question 88: A registered representative is given a limited trading autho...; Question 89: Regulation T is set at 50%. Bubba's account contains long po...; Question 90: Bubba buys a bond issued at par with a 5% coupon that is con...; Question 91: What type of mutual fund would invest in equities and bonds?...; Question 92: The Bubba Corporation has 900,000 of common outstanding and ...; Question 93: The registration requirements of the federal securities acts...; Question 94: Which of the following is true of treasury stock?...; Question 95: Which are the primary considerations in evaluating the worth...; Question 96: Under what conditions may an FINRA member firm sell an IPO t...; Question 97: Which of the following does not issue debt securities that t...; Question 98: All sales literature and advertising relating to investment ...; Question 99: Bubba buys one XYZ September 50 call at $7 and sells one XYZ...; Question 100: What rate of return takes into consideration appreciation or...; Question 101: A registered representative privately assures a customer tha...; Question 102: When a member firm buys or sells securities directly as prin...; Question 103: Under what circumstances may a registered investment company...; Question 104: Which of the following is considered an intangible asset?...; Question 105: Bubba is a registered representative who wishes to buy share...; Question 106: Bubba buys a municipal bond at 102 and holds it ten years to...; Question 107: A syndicate manager has just been informed that its bid has ...; Question 108: Which of the following pays interest at maturity only?...; Question 109: Bubba sells short 100 XYZ at $60 and makes the required Regu...; Question 110: Bubba's margin account has $1,000 of SMA. If he buys $20,000...; Question 111: A financial institution requesting a quote on a block of 100...; Question 112: On which of the following is depreciation permitted?...; Question 113: A four-letter symbol assigned to an issue is characteristic ...; Question 114: The return by the receiving party of securities previously a...; Question 115: FINRA advertising standards permit a dealer to state that a ...; Question 116: Approval for a registered investment company to change is in...; Question 117: The minimum denomination for a US treasury bond is:...; Question 118: An ERISA benefits plan qualified under Section 401(a) of the...; Question 119: The public offering price of the securities of an open-end m...; Question 120: Bubba buys a bond issued at par with a 5% coupon that is con...; Question 121: Bubba decides to buy equity securities. Which of the followi...; Question 122: Which of the following would not be subject to the holding p...; Question 123: In the distribution of a new issue, a dealer acting as an un...; Question 124: In a corporation's financial statements, earned surplus is a...; Question 125: Service charges by a FINRA dealer for transfer and safekeepi...; Question 126: Which of the following statements regarding mutual funds is ...; Question 127: Maintaining a fair and orderly market and acting as a broker...; Question 128: Bubba held one XYZ July 30 listed call option when XYZ split...; Question 129: The Bubba Fund is a load mutual fund that offers a reinvestm...; Question 130: Bubba has a cash account and fails to make full and prompt p...; Question 131: Which of the following activities by a limited partner may s...; Question 132: Which of the following rights does an ADR holder not have?...; Question 133: Bubba Securities, Inc. offers 3,000,000 shares of Top Notch ...; Question 134: Who is responsible for verifying that limited partners meet ...; Question 135: Bubba Corporation has 3,500,000 shares of common stock outst...; Question 136: The accounting statement that represents a company's financi...; Question 137: Regulation T is set at 50%. Bubba's account contains long po...; Question 138: Bubba buys a 5% municipal bond maturing in 15 years that is ...; Question 139: Bubba buys one XYZ June 40 call for $1,000 and sells one XYZ...; Question 140: Which of the following receives the highest priority of a mu...; Question 141: A mutual fund with an 8% load and a 1% redemption fee carrie...; Question 142: In order to determine the amount of estate tax due, if any, ...; Question 143: An "accumulation unit" of a variable annuity is used to dete...; Question 144: Which of the following is true about option prices?...; Question 145: Bubba owns a perpetual warrant to buy one share of Internet ...; Question 146: A registered representative just accepted Bubba's instructio...; Question 147: Bubba's margin account has securities valued at $20,000 and ...; Question 148: Which of the following preferred issues is likely to fluctua...; Question 149: Which of the following is not true about mutual funds and va...; Question 150: In terms of depletion, percentage depletion is better than c...; Question 151: The FINRA markup policy requires that over-the-counter trans...; Question 152: A public offering by an investment banker in which any secur...; Question 153: Revenue bonds are least likely to provide constructions fund...; Question 154: A basis point is:; Question 155: The term "secondary market" refers to:...; Question 156: Which of the following will not result in termination of a l...; Question 157: Which of the following price quotes is representative of a t...; Question 158: The amount for which the securities of a close-end investmen...; Question 159: An advertisement for a CMO security by a member of FINRA sho...; Question 160: Customers who engage in increased activity of wiring money f...; Question 161: For an FINRA member firm to exercise discretionary power in ...; Question 162: Which of the following does not appear in a municipal syndic...; Question 163: Which of the following clients could not open a margin accou...; Question 164: Bubba wishes to invest $50,000 in three mutual funds offered...; Question 165: Which of the following items is not deducted to determine a ...; Question 166: Assuming all of the following bonds from the same issuer are...; Question 167: Which of the following registered investment companies norma...; Question 168: Which of the following are direct obligations of the US gove...; Question 169: Which of the following municipal securities carries the full...; Question 170: In June, Bubba bought 100 shares of XYZ at $35. In November,...; Question 171: Who obtains and pays the municipal bond attorney rendering a...; Question 172: Bubba buys 100 shares of XYZ stock at $40 per share and sell...; Question 173: The Bubba Insurance Company is not incorporated. It consists...; Question 174: Under which of the following conditions are homeowners most ...; Question 175: What is the possible reward for investing in raw land?...; Question 176: When depositors withdraw money from savings institutions to ...; Question 177: A mutual fund letter of intent may permissibly be predated f...; Question 178: In regard to discretionary accounts, which of the following ...; Question 179: A company earns $6 per share and pays out 20% in common stoc...; Question 180: A short sale can be made in which of the following types of ...; Question 181: Bubba has a short margin account with a short market value o...; Question 182: Which of the following best describes depreciation?...; Question 183: The agreement between the members of a syndicate and the man...; Question 184: In a best efforts distribution of a new non-exempt issue, a ...; Question 185: Bubba is opening a margin account with a member organization...; Question 186: A corporation makes a rights offering to raise $10 million o...; Question 187: What percentage load is associated with a mutual fund quoted...; Question 188: A case of leverage is:; Question 189: An issuer is most likely to request an investment letter fro...; Question 190: Level III of NASDAQ provides which of the following?...; Question 191: What Federal Reserve Board regulation governs the extension ...; Question 192: Which of the following is not in the subscription agreement ...; Question 193: A revenue bond is issued by a state agency. The state legisl...; Question 194: In a competitive bidding for mortgage bonds of a large publi...; Question 195: Bubba has been classified as a restricted person according t...; Question 196: Which of the following is true about a customer with a froze...; Question 197: Reinvestment of dividends and distributions from investment ...; Question 198: Under the Investment Company Act of 1940, what is the minimu...; Question 199: A dealer buys 100 shares of XYZ common, which is an actively...; Question 200: Which of the following does not describe an underwriting pro...; Question 201: In a triple net lease, which of the following is the tenant ...; Question 202: The principal underwriter of an open-end investment company ...; Question 203: Bubba Corporation has net income of $4,200,000. It has 100,0...; Question 204: The practice of positioning stock in response to a customer'...; Question 205: The FINRA markup policy applies to:...; Question 206: Bubba buys a 5% bond that matures in 15 years with a 5.10 ba...; Question 207: A tax-free rollover of assets between qualified retirement p...; Question 208: If a customer dies, the registered representative is require...; Question 209: When the market value in a long margin account decreases, th...; Question 210: In what broad category of municipal bonds are "limited tax" ...; Question 211: Which of the following is an acceptable deposit to answer an...; Question 212: Which of the following pairs of corporation characteristics ...; Question 213: Limited partnerships try to avoid recapture because:...; Question 214: Crossover is best defined as:; Question 215: Which of the following is considered a firm quotation in the...; Question 216: Bubba buys a $4 convertible preferred with a $50 par value t...; Question 217: In early September, Bubba buys 100 shares of XYZ for $83 per...; Question 218: A group net order is one that benefits municipal syndicate m...; Question 219: The market theory stating that the small investor is usually...; Question 220: Bubba's margin account has $2,000 of SMA. If he buys $10,000...; Question 221: With the Regulation T requirement at 50%, a firm wishes to i...; Question 222: Bubba buys one XYZ September 50 call at $7 and sells one XYZ...; Question 223: Partnership democracy is:; Question 224: Bubba Corporation has a registered public offering of 500,00...; Question 225: Bubba is eligible for a Roth IRA. He may convert his SEP-IRA...; Question 226: Feasibility studies and engineering surveys are most necessa...; Question 227: What is the term applied to a classification of CMO securiti...; Question 228: The definition of debentures is:...; Question 229: The FINRA Conduct Rules permit a transaction made "seller's ...; Question 230: Registration of open-end investment company shares with the ...; Question 231: Which of the following holders of unregistered stock is prec...; Question 232: Which of the following is a right for shareholders of common...; Question 233: Most publicly owned securities are:...; Question 234: Bubba entered an order to sell long 100 shares of XYZ at 38....; Question 235: In which of the following situations may exemption from comp...; Question 236: At the time it underlying stock is trading at 48, Bubba buys...; Question 237: In a securities underwriting a participating firm is said to...; Question 238: In a 401(k) plan, when are employee's contributions of compe...; Question 239: A buy-in of a customer's sale transaction is mandated if the...; Question 240: Which of the following securities has the highest amount of ...; Question 241: Which of the following best describes phantom income?...; Question 242: When the Federal Reserve lowers reserve requirements, what i...; Question 243: Who owns a corporation?; Question 244: Which of the following is not good delivery on a sale of 470...; Question 245: A mutual fund custodian is paid according to which of the fo...; Question 246: Which of the following may occasionally be purchased at a di...; Question 247: Bubba has not existing positions in his account and writes 1...; Question 248: Which of the following would not normally be a function of a...; Question 249: A call option is in the money when the market value of the u...; Question 250: Which of the following is not found in the final prospectus?...; Question 251: A corporation makes a rights offering to raise $10 million o...; Question 252: Bubba is age 54 and has investments in a retirement plan wit...; Question 253: Which of the following is least relevant in evaluating the s...; Question 254: Bubba maintains an individual cash account as well as a join...; Question 255: Under Regulation T of the Federal Reserve, when may a broker...; Question 256: A treasury obligation having no fixed rate of interest with ...; Question 257: Big Guns Municipal Bond Dealer Corporation buys 100M of 7% 2...; Question 258: Bubba owns a subordinated debenture in a company that is liq...; Question 259: Bonds are most often quoted as a percentage of:...; Question 260: Although a corporation has no earnings in a particular year,...; Question 261: Smart Company, Inc., has cash it intends to use in six month...; Question 262: Which of the following is not an attribute of US treasury bi...; Question 263: What is the loan value on a call option held in a customer's...; Question 264: When an index option is exercised, settlement is made by:...; Question 265: Which of the following stock exchanges is not registered wit...; Question 266: The net asset value of a mutual fund was $9.72 last month. T...; Question 267: The gross spread in a new issue depends upon which of the fo...; Question 268: Bubba buys a 5% municipal bond maturing in 15 years that is ...; Question 269: Bubba is buying a Federal Home Loan Bank issue that is offer...; Question 270: Bubba wants to buy a US treasury bond with a bid of 97.28 an...; Question 271: Which of the following is not classified as a money market i...; Question 272: Bubba buys a ten-year municipal and at 102 and sells it five...; Question 273: Which of the following would be least useful to an analyst m...; Question 274: A management group may serve an investment company as its:...; Question 275: Mutual fund salespersons may not represent that a product is...; Question 276: With respect to the public offering of securities by an unde...; Question 277: Which of the following oil and gas programs does not directl...; Question 278: Regulation T is set at 50%. Bubba's account contains long po...; Question 279: A company may pay a declared dividend in which of the follow...; Question 280: An investor purchasing a corporate bond regular way will hav...; Question 281: A bank or trust company that is acting as custodian for a mu...; Question 282: Smart Guys Securities Corporation has given a workable bid t...; Question 283: Assuming that the information contained in a registration st...; Question 284: Bubba purchases 100 shares of XYZ at 78 and, on the same day...; Question 285: Bubba buys a US treasury bond. The interest he earns is:...; Question 286: Which of the following has the least active secondary market...; Question 287: Which of the following has the greatest risk?...; Question 288: In June, Bubba bought 100 shares of XYZ at $35. In November,...; Question 289: In comparing the premium cost of a LEAPS option with a premi...; Question 290: Which of the following is available both to owners of stock ...; Question 291: Interest rates rise from 5.10% to 5.30%. For a prospective b...; Question 292: Which of the following is not an intangible drilling cost?...; Question 293: A large manufacturing company has current assets of approxim...; Question 294: Which of the following is not prohibited of a general partne...; Question 295: A corporate bond is quoted as having a net change in value o...; Question 296: Commercial paper is typically issued with a maturity date no...; Question 297: Which of the following municipal bonds may be grouped under ...; Question 298: If a mutual fund has invested its assets by allocating about...; Question 299: Which of the following is not a practice of a mutual fund cu...; Question 300: Regulation A permits a short form of filing for offerings of...; Question 301: Which of the following does not appear in the official notic...; Question 302: A leveraged company is best described as one that has a smal...; Question 303: A new stock offering by Bubba Corporation provides details t...; Question 304: After an extended period of backing and filling, a stock mov...; Question 305: Bubba buys $100,000 of US Treasury 10½ s of 31 on margin. If...; Question 306: Which of the following must be true in order for an offering...; Question 307: Which of the following best describes depreciation?...; Question 308: A stock with a current P/E of 17 is selling at $74.50 per sh...; Question 309: Municipalities are most likely to issue notes for which of t...; Question 310: Which of the following organizations usually has a prominent...; Question 311: Bubba Corporation issued bonds that pay interest on January ...; Question 312: Which of the following statements about the custodian for an...; Question 313: XYZ Corporation earned $2 per share last year and is selling...; Question 314: Big Easy Investment Banking, Inc., is participating in an Ea...; Question 315: When opening a brokerage account for a customer, a registere...; Question 316: Bubba owns 200 shares of XYZ at $90, and wishes to hedge the...; Question 317: Which of the following does not affect the public offering p...; Question 318: In the sale of open-end investment company shares, the amoun...; Question 319: Under a leaseback arrangement used to finance construction o...; Question 320: In the distribution of a new issue underwriters or selling g...; Question 321: A typical money market instrument carries which of the follo...; Question 322: What does the bond buyer placement ratio represent?...; Question 323: Bubba is concerned about the liquidity of a possible municip...; Question 324: An offering price of 102 plus accrued interest applies to wh...; Question 325: In which of the following is not a case where a deed to a co...; Question 326: What is represented by the net investment income of an open-...; Question 327: Which securities do not receive dividends?...; Question 328: Bubba sells 100 shares of XYZ short at $58 and buys 1 XYZ Ma...; Question 329: Bubba buys municipal bonds with a $100,000 principal amount ...; Question 330: The general purpose of the Securities Act of 1933 is to:...; Question 331: Call loans made by banks to broker/dealers are generally for...; Question 332: Which of the following is not provided for by Blue Sky laws?...; Question 333: In June, Bubba bought 100 shares of XYZ at $35. In November,...; Question 334: A front-end loan mutual fund plan is most suitable for:...; Question 335: Bubba want to buy a CMO. In general, how often should he exp...; Question 336: A mutual fund characterized by a modest sales charge and an ...; Question 337: If recaptured deductions are added to income, recaptured inv...; Question 338: Creditors whose claims are not settled upon dissolution of a...; Question 339: The cost of maintaining an investment in a mutual fund is be...; Question 340: Which of the following statements about mutual fund fees is ...; Question 341: An employer profit sharing plan may be described as:...; Question 342: Which of the following is not true about US treasury bills?...; Question 343: Which of the following situations is possible for a writer o...; Question 344: Which of the following is not a characteristic of treasury b...; Question 345: A limit order is best describes as an order:...; Question 346: The expiration date of a listed option is:...; Question 347: An investment company acting as a conduit in the distributio...; Question 348: Which of the following options positions is characteristic o...; Question 349: Which of the following pairs of terms are synonyms in connec...; Question 350: Which of the following is not usually an additional function...; Question 351: In mid-September, Bubba sells one XYZ February 50 call at $6...; Question 352: Regulation T is set at 50%. Bubba's account contains long po...; Question 353: Upon opening a new account for a customer, a registered repr...; Question 354: The preferred stock of Greatest Technology Corporation has a...; Question 355: How much currency is one mil worth?...; Question 356: What expression is used to describe the application of incom...; Question 357: Bubba buys one XYZ November 65 call at $3 and one XYZ Novemb...; Question 358: If a customer fails to pay for securities purchased in a cas...; Question 359: A 5% markup policy applies to:; Question 360: Bubba owns 100 shares of XYZ at $58. He needs to limit his l...; Question 361: Under which of the following conditions may a registered rep...; Question 362: Bubba is buying a treasury bill. The discount he receives re...; Question 363: To qualify as an intrastate offering under SEC Rule 147, whi...; Question 364: Which of the following is not a marketable security?...; Question 365: Bubba Corporation has a registered public offering of 750,00...; Question 366: As a general rule, when a partnership is terminated, in what...; Question 367: Which of the following have a stated interest rate on the fa...; Question 368: Which of the following statements is pertinent to closed-end...; Question 369: Which of the following is not an investment company within t...; Question 370: The initial Federal Reserve Bank margin requirement is set a...; Question 371: Initial margin deposit minimum requirements are set by the:...; Question 372: Under Rule 415 a corporation may file a single registration ...; Question 373: Bubba Corporation has a profit sharing plan. The company pre...; Question 374: CMOs are sold and priced based upon which of the following:...; Question 375: Bubba buys one XYZ October 80 put and sells one XYZ October ...; Question 376: What percentage of maintenance charges and debt service are ...; Question 377: Hypothecation usually refers to which of the following?...; Question 378: A NYSE floor member executing an order for a public customer...; Question 379: Which of the following is not true about brokerage accounts?...; Question 380: Bubba Corporation owes income tax. Which of the following ma...; Question 381: An investment company incapable of issuing a long-term debt ...; Question 382: In the offering of new securities, members of the syndicate ...; Question 383: Which of the following securities is traded only in the over...; Question 384: Municipal syndicate allocation procedures are described in w...; Question 385: Bubba wants to buy 500 shares of an NYSE listed stock at 38....; Question 386: Bubba opens a new account with a broker/dealer and asks for ...; Question 387: Which of the following securities provides the longest term ...; Question 388: How much money is a concession of 3/8 worth for one municipa...; Question 389: What is the name for the rate of discount from the list pric...; Question 390: Bubba and his wife, Bubbette, maintain a joint account with ...

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