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NEW QUESTION # 75
Under FINRA rules, which of the following pieces of information is used in order to know a customer?
Answer: D
Explanation:
The correct answer is A, Time horizon. Under FINRA rules, specifically the Know Your Customer (KYC) and suitability obligations, firms must gather essential information about a customer's financial situation, investment objectives, and risk tolerance. One of the most critical elements in determining suitable recommendations is the customer's time horizon, which refers to how long the customer expects to hold investments before needing the funds.
Time horizon directly affects investment strategy. For example, a customer with a long-term time horizon may be more suitable for growth-oriented or higher-risk investments such as equities, while a customer with a short-term horizon would typically require more conservative investments such as money market instruments or short-term bonds. Therefore, time horizon is a core component of building a suitable investment profile.
The other choices are not primary KYC factors. Beneficiary information is relevant for estate planning but does not determine investment suitability. Educational background may provide general insight but is not a required element for suitability analysis. Former custodian of account assets has no relevance to assessing the customer's financial needs or investment objectives.
Thus, time horizon is a key factor used by registered representatives to ensure recommendations align with the customer's financial goals and regulatory requirements.
NEW QUESTION # 76
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: B
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 # 77
Company XYZ engages an investment bank to represent it in selling initial public offering (IPO) shares. If a minimum threshold is met, and the underwriter is not obligated for any unsold shares, which of the following types of offerings is this?
Answer: B
Explanation:
The correct answer is D, All-or-none agreement. In an all-or-none underwriting, the investment bank agrees to sell all of the securities offered, but only if the entire offering (or a specified minimum amount) is sold. If that threshold is not met, the offering is canceled and investor funds are returned. Importantly, the underwriter is not obligated to purchase any unsold shares, which aligns directly with the question.
This differs from a best efforts offering (choice A), where the underwriter agrees only to use its best efforts to sell the securities but does not guarantee that any minimum amount will be sold. There is no requirement to meet a specific threshold for the offering to proceed.
A firm commitment (choice B) means the underwriter purchases the entire issue from the issuer and assumes the risk of selling it to the public, which contradicts the scenario since here the underwriter has no obligation for unsold shares.
A standby agreement (choice C) is typically used in rights offerings, where the underwriter agrees to purchase any shares not subscribed to by existing shareholders.
Thus, the key clues-minimum threshold requirement and no obligation for unsold shares-identify this as an all-or-none offering, making choice D correct.
NEW QUESTION # 78
A customer purchased 100 shares of Company XYZ common stock five years ago for $20.00 per share. Over the life of her investment, the customer received cash dividends of $2.00 per share, on which she paid total income taxes of $0.50 per share. She recently sold the stock for $30.00 per share. What is the customer's cost basis in each share of XYZ stock?
Answer: C
Explanation:
The cost basis of a stock represents the purchase price and does not include dividends received. Taxes paid on dividends also do not affect the cost basis.
* Original purchase price per share =$20.00.
* Dividends and taxes on dividends do not adjust the stock's cost basis.
* A is correctbecause the cost basis remains $20.00.
* B,C, andDincorrectly assume that dividends or taxes change the cost basis.
NEW QUESTION # 79
Which of the following responses describes a common feature of a hedge fund?
Answer: D
Explanation:
Step by Step Explanation:
* Low Liquidity: Hedge funds often impose lock-up periods and restrict redemptions, leading to low liquidity for investors.
* Incorrect Options:
* B: Hedge funds typically have high minimum investment requirements, often $1 million or more.
* C: Hedge funds employ diverse strategies, not just fixed income.
* D: Hedge funds are generally opaque about their strategies and holdings to protect their competitive advantage.
:
SEC Investor Bulletin on Hedge Funds: SEC Hedge Funds.
NEW QUESTION # 80
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