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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records | 50% | - Suitability rules and recommendations - Recordkeeping and disclosure requirements - Investment company products: mutual funds, UITs, closed-end funds - Product features, risks, costs, and tax considerations - Retirement plans and 529 savings plans - Variable contracts: variable annuities, variable life insurance |
| Topic 2: Seeks Business for the Broker-dealer from Customers and Potential Customers | 24% | - Advertising and sales literature regulations - Prospecting and identifying customer needs - Communications with the public and regulatory rules - Telemarketing and solicitation rules |
| Topic 3: Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 10% | - Order entry and processing procedures - Error resolution and correction procedures - Payment and settlement processes - Trade confirmations and account statements |
| Topic 4: Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 16% | - Customer identification and verification - Anti-money laundering (AML) and compliance - Financial profile and investment objectives assessment - Account types and registration |
Question 1
Which of the following do not fall under the category of "advertisement," as defined by FINRA?
I. scripts used in telemarketing the products of the member firm
II. a website maintained by the member firm
III. research reports that the member firm distributes to both its existing clients and its prospective clients
IV. sales material that a member firm distributes only to its institutional clients
A. IV only
B. I, III, and IV only
C. III and IV only
D. I only
Question 2
The Securities Exchange Commission consists of:
A. 7 members, appointed by FINRA.
B. 5 members, appointed by the Secretary of Treasury of the U.S.
C. 5 members, appointed by the President of the U.S., with Senate approval
D. 6 members, elected by member firms.
Question 3
Which of the following would be the most suitable investment for a client who has retired and needs some
current income to augment her social security check?
A. growth fund
B. money market fund
C. variable life policy
D. U.S. government bond fund
Question 4
The Slippery Fund is a high-yield bond fund, which means it invests a substantial amount of its money in:
A. bonds with an AAA rating.
B. high-quality bonds.
C. junk bonds.
D. investment-grade bonds.
Question 5
The essential difference between a 401(k) plan and a 403(b) plan is that:
A. the 403(b) plan is for employees of specific non-profit organizations whereas the 401(k) plan is for the
employees of private corporations.
B. contributions to 403(b) plans are always tax deductible, which is not the case with 401(k) plan
contributions.
C. only employers can contribute to 403(b) plans while both employers and employees can contribute to
4 01(k) plans.
D. the 403(b) plan is for small businesses while the 401(k) plan is for large corporations.
Solutions:
| Question 1 Answer: B | Question 2 Answer: C | Question 3 Answer: D | Question 4 Answer: C | Question 5 Answer: A |
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