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NEW QUESTION # 121
An investor is bullish on a particular stock for the long run, but he would prefer a better price than the stock's current quote. Which of the following trades should the investor enter for this stock?
Answer: C
Explanation:
A limit order to buy allows the investor to specify the maximum price he is willing to pay for the stock. The order will only execute if the stock price falls to or below the specified price.
* B is correct because a limit order to buy aligns with the investor's desire to secure a better price.
* A is incorrect because a limit order to sell is used when an investor wants to sell at a minimum price.
* C and D are incorrect because market orders execute at the current market price, not at a preferred price.
Reference: SIE Study Guide, Chapter 1: Trade Execution and Order Types
NEW QUESTION # 122
Which of the following must a registered representative disclose as an outside business activity (OBA) on his Form U4?
Answer: B
Explanation:
FINRA Rule 3270 requires registered representatives to disclose all outside business activities that involve compensation or could reasonably be perceived as a conflict of interest.
* C is correct because serving as a board member for a publicly traded company is a business activity requiring disclosure, even if compensation is indirect.
* A is incorrect because volunteer work for charities does not require disclosure.
* B is incorrect because acting as a trustee for a personal or family estate is generally not considered an OBA.
* D is incorrect because unpaid board membership for a not-for-profit entity does not typically require disclosure.
Reference: FINRA Rule 3270 (Outside Business Activities)
NEW QUESTION # 123
Company XYZ is a U.S.-based provider of domestic utility services. XYZ's noncallable bonds pay a coupon rate of 5% and are currently yielding 9%. Market interest rates are currently 5.5%. An investor who purchases XYZ bonds is most exposed to which of the following risks?
Answer: D
Explanation:
XYZ bonds have a yield higher than the coupon rate, indicating that their market price has decreased due to concerns about the issuer's creditworthiness.
* A is correct because the high yield suggests elevated credit risk.
* B is incorrect because domestic utility companies are unlikely to face political risk.
* C is irrelevant as the bonds are denominated in U.S. dollars.
* D is incorrect as prepayment risk is associated with callable bonds, not noncallable bonds.
Reference: SIE Study Guide, Chapter 3: Fixed Income Securities
NEW QUESTION # 124
Which of the following securities receives the highest priority in case of a bankruptcy?
Answer: D
NEW QUESTION # 125
Which of the following activities is permitted during the cooling-off period of an initial public offering (IPO)?
Answer: C
Explanation:
The cooling-off period begins after the registration statement is filed with the SEC and lasts for at least 20 days. During this time, the issuer and underwriters can market the securities but cannot finalize sales.
* D is correctbecause marketing (e.g., roadshows) is permitted during the cooling-off period.
* Ais incorrect because the final prospectus is distributed after the offering is effective.
* BandCare incorrect because sales and deliveries are prohibited until the registration becomes effective.
NEW QUESTION # 126
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