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| Section | Weight | Objectives |
|---|---|---|
| Regulation of Investment Advisers | 5% | - Federal vs state adviser regulation - Investment adviser registration rules |
| Regulation of Broker-Dealer Agents | 13% | - Associated person regulations - Agent registration requirements |
| Regulations of Securities and Issuers | 9% | - Issuer regulation principles - Securities registration and exemptions |
| Communication with Customers and Prospects | 20% | - Advertising and correspondence rules - Disclosure requirements |
| Regulation of Investment Adviser Representatives | 5% | - IAR registration and obligations - Recordkeeping and contract standards |
| Remedies and Administrative Provisions | 9% | - Enforcement and penalties - State Administrator authority |
| Regulation of Broker-Dealers | 12% | - Broker-dealer regulatory requirements - Federal and state registration standards |
| Ethical Practices and Obligations | 25% | - Fraudulent and unethical conduct - Conflicts of interest and fiduciary duties |
Question 1
An individual who represents a broker-dealer in the buying and selling of securities is called a(n):
A. issuer
B. administrator
C. agent
D. underwriter
Question 2
Broker-dealer Small & Associates has received a complaint about one of its agents, Mr. Ari Gaunt. Small & Associates is required to
A. immediately forward the complaint to the Administrator of any state in which Mr. Gaunt is a registered agent.
B. keep the complaint in Mr. Gaunt's employee file as long as Mr. Gaunt remains employed with the firm.
C. call the client who complained and inform him of the disciplinary action that will be taken against Mr.
Gaunt.
D. provide the client with a written response to the complaint.
Question 3
"T + 3" refers to
A. a procedure to minimize the potential for money laundering.
B. the form that is filled out and sent to the client confirming that the trade has been executed.
C. the form, also known as a "trade ticket," that is filled out when an order is entered into the market.
D. the fact that the settlement date will be three business days after the trade date, which is the "regular way settlement" for transactions involving stocks and corporate and municipal bonds.
Question 4
Alice Wonder called her broker on Tuesday, August 10th, with a market order to buy 10 calls on the stock of Abbott Laboratories. Under normal conditions, Alice will have to pay for the calls on
A. Tuesday, August 10th.
B. Friday, August 13th.
C. Monday, August 16th.
D. Wednesday, August 11th.
Question 5
Harry Lange manages the investment portfolio for the Fidelity Magellan Mutual Fund. Mr. Lange is a(n)
A. agent.
B. broker-dealer.
C. investment adviser.
D. investment company.
Solutions:
| Question 1 Answer: C | Question 2 Answer: D | Question 3 Answer: D | Question 4 Answer: D | Question 5 Answer: C |
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