| Types of Securities | BONDS (__ Term) | Options (___ the money) | Rules and Regulations | Investments/BDs |
|---|---|---|---|---|
|
Equity
What are Warrants?
|
Long Term
What is a Treasury Bonds (T-bonds)?
|
At the money
XYZ stock is trading at 84, XYZ August 84 call is...
|
when opening a new account for an individual or other entity.
The Specifically Designated Nationals (SDN) list must be checked...
|
monetary and fiscal
There are two distinctive types of policies implemented to shape and mold the U.S. economy. They are
|
|
Debt
What is a corporate bond?
|
Short Term
What is a Federal Funds Loans ?
|
In the money
AWK call option’s strike price is 43 with a premium of 6, CMV is 45
|
placement, layering, Integration
What are stages of money laundering?
|
Within 15 days of the end of each calendar quarter
When is the electronic filing of all information on customer complaints by broker-dealers with FINRA due?
|
|
Neither
What is a Bitcoin?
|
Short Term
What is a Banker’s Acceptance (BA) ?
|
In the money
ATT is trading at 23, an ATT 30 put trading at 5 would be
|
FinCEN
Financial institutions such as BD must report when there is an event or series of transactions that appear to be questionable to...
|
sell XYZ to close
Blaine has owned XYZ stock for several years and believes it is time to take his profit and invest money in another stock. He should...
|
|
Debt
What are T-notes?
|
Intermediate
What is a Treasury Notes (T-notes) ?
|
Out of the Money
L 1 APPL July 34 call, CMV 30
|
Any transaction alone involving at least $5,000 and appears to serve no business or legal purpose.
Which of the following would require the filing of a suspicious activity report (SAR)?
|
Class C shares
Which class of shares have a 12b-1 fee as the primary sales charge?
|
|
Equity
What is an American Depository Receipts? (ADRs)
|
Short Term
What is a Construction Loan Notes (CLN) ?
|
Out of the Money
LULU stock is trading at 75, LULU May 77 put trading at 4 is
|
no longer than 15 business days unless a state regulator or agency of jurisdiction extends it longer.
A member firm believes that financial exploitation of a senior customer is being attempted. While not required, but allowed, they put a temporary hold on disbursements of cash and securities from the account. The temporary hold should be...
|
private securities transaction
Any sale of securities outside an associated person's or the employing member firm's regular business is recognized as
|
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