Security Industry Essentials Practice Test 25

1. The SEC has declared a new public offering effective. This indicates that

2. An unsecured bond is also known as a(n)

3. The Securities Investor Protection Corporation (SIPC) protects customers from

4. A customer must sign and return the options account agreement

5. An 80 -year-old individual would be least likely to purchase a

6. Henry and Jennifer, a married couple, have a net worth of $800,000, excluding home equity. Their income has been about $250,000 for several years. Are they eligible to participate in a private placement of securities as accredited investors?

7. Which of the following statements is TRUE regarding the value of variable contract annuity units?

8. Passive losses generated by a limited partnership may be used to reduce which of the following?

9. Investors that purchase high quality fixed income investments for retirement income are most concerned with

10. The "third market" is a marketplace where

11. The money supply will tighten based on which of these techniques of monetary policy?

12. What type of order should Martin enter if his objective is to buy 500 shares of Cisco stock as soon as possible at the best price available?

13. An individual contacts her financial representative to sell her mutual fund shares. The price she will receive is

14. The regulatory element of continuing education must be completed on the

15. When must the brokerage firm deliver a customer confirmation to the customer?

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