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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 16% | - Anti-money laundering (AML) and compliance - Customer identification and verification - Account types and registration - Financial profile and investment objectives assessment |
| Topic 2: Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 10% | - Trade confirmations and account statements - Error resolution and correction procedures - Payment and settlement processes - Order entry and processing procedures |
| Topic 3: Seeks Business for the Broker-dealer from Customers and Potential Customers | 24% | - Telemarketing and solicitation rules - Communications with the public and regulatory rules - Advertising and sales literature regulations - Prospecting and identifying customer needs |
| Topic 4: Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records | 50% | - Variable contracts: variable annuities, variable life insurance - Investment company products: mutual funds, UITs, closed-end funds - Recordkeeping and disclosure requirements - Retirement plans and 529 savings plans - Product features, risks, costs, and tax considerations - Suitability rules and recommendations |
1. GoForBroke Broker-Dealers has distributed a list of ten mutual funds that it suggests are top-notch funds
worthy of recommendation by GoForBroke's agents. Coincidentally, all the funds on this list also happen
to be those that execute the majority of their trades through GoForBroke. Is GoForBroke in violation of
any FINRA rules?
A) No. GoForBroke only distributed a list of fund names; it did not offer its agents any form of additional
compensation for selling the funds on that list.
B) Yes. GoForBroke is prohibited from selling shares of mutual funds that execute their trades through the
broker-dealer. This rule is in place to avoid conflicts of interest.
C) No. As long as the list consists of more than five funds, GoForBroke has not violated any FINRA rules.
D) Yes. By distributing a list naming specific funds that coincidentally all happen to execute a lot of trades
through GoForBroke, the broker-dealer is violating FINRA's anti-reciprocal rule.
2. MoeMoney Investments is a diversified management company. This means that:
A) it must be invested in a variety of industries and geographic regions.
B) it may invest no more than 5% of its investment monies in one issuer.
C) it is a closed-end company.
D) it is a mutual fund.
3. When a mutual fund is valuing your pre-existing holdings to see if you qualify for a reduced sales charge
under its rights of accumulation program, it must use:
A) none of the above.
B) the current NAV of your holdings.
C) the price you paid when you purchased the shares originally.
D) the current public offering price (POP) of your holdings.
4. Which of the following pieces of information may not be contained in a tombstone advertisement under
SEC rules?
A) the name and address of a place where a prospectus can be obtained
B) the price of the offering
C) the name of the issuer
D) the type of business in which the issuing firm is engaged
5. Commercial paper is:
A) short-term, unsecured debt issued by large corporations.
B) long-term debt issued by commercial banks.
C) issued with maturities of 1 to 2 years.
D) short-term debt that is backed by stocks and bonds that the issuing firm owns.
Solutions:
| Question # 1 Answer: D | Question # 2 Answer: B | Question # 3 Answer: A | Question # 4 Answer: B | Question # 5 Answer: A |
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