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| Section | Weight | Objectives |
|---|---|---|
| Knowledge of Capital Markets | 16% | - Market Structure - Economic Factors - Entities, Agencies and Market Participants - Offerings |
| Understanding Products and Their Risks | 44% | - Municipal Securities - Alternative Investments - Risk Characteristics - Packaged Products - Options - Equity Securities - Debt Securities |
| Understanding Trading, Customer Accounts and Prohibited Activities | 31% | - Trading, Settlement and Corporate Actions - Customer Accounts and Compliance - Prohibited Activities |
| Overview of Regulatory Framework | 9% | - Federal Securities Laws - SRO Rules and Requirements - Registration and Conduct Rules |
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NEW QUESTION # 161
Corporate bonds unsecured by any pledge of property are called:
Answer: B
Explanation:
Step by Step Explanation:
* Debentures: Corporate bonds not backed by physical assets or collateral. They rely on the issuer's creditworthiness.
* Incorrect Options:
* B: Trust certificates are a legacy term for bonds backed by a trust.
* C: Collateral trust bonds are secured by financial assets.
* D: GO bonds are issued by municipalities, not corporations.
SEC Guide on Corporate Bonds: SEC Corporate Bonds.
NEW QUESTION # 162
The financial risk that a given security is not readily tradable in the market without impacting the market price is known as:
Answer: C
Explanation:
Step by Step Explanation:
* Liquidity Risk: Refers to the difficulty of selling a security quickly without significantly affecting its price. This is common in thinly traded securities or complex instruments.
* Other Risks:
* Credit Risk: Relates to the possibility of default by the issuer.
* Market Risk: Pertains to overall price changes due to market conditions.
* Prepayment Risk: Associated with mortgage-backed securities and early repayment of loans.
:
SEC Investor Bulletin on Risks: SEC Risk Guidance.
NEW QUESTION # 163
Which of the following types of investment companies typically have surrender fees?
Answer: D
Explanation:
Variable annuities typically include surrender charges (surrender fees), especially during the early years of the contract. A surrender charge is a fee assessed if the owner withdraws funds above permitted free-withdrawal amounts or terminates the contract during a specified surrender period. This feature is common because variable annuities are insurance products that often involve significant distribution costs, and insurers structure surrender schedules to recoup those costs if the investor exits early. On the SIE, variable annuities are treated as packaged products/variable contracts with unique fee structures, including surrender charges and separate account expenses.
By contrast, no-load mutual funds are designed specifically to have no sales charge (no front-end load and typically no deferred sales charge), though they may still have operating expenses in the expense ratio. UITs may involve sales charges at purchase, and they have a fixed portfolio that does not actively trade; they are not commonly characterized by surrender fees in the way variable annuities are. ETFs trade intraday on an exchange like stocks, and investors generally pay brokerage commissions and incur bid-ask spreads (and internal fund expenses), but ETFs do not impose surrender fees as an inherent product feature for secondary- market trades.
The concept being tested is recognition of product-specific fees. Variable annuities commonly include multiple layers of cost: mortality and expense (M&E) charges, administrative fees, underlying subaccount expenses, and surrender charges. Surrender charges are a key distinguishing characteristic and a frequent exam point because they affect liquidity and time horizon suitability.
NEW QUESTION # 164
Corporate bonds unsecured by any pledge of property are called:
Answer: B
Explanation:
Step by Step Explanation:
* Debentures: Corporate bonds not backed by physical assets or collateral. They rely on the issuer's creditworthiness.
* Incorrect Options:
* B: Trust certificates are a legacy term for bonds backed by a trust.
* C: Collateral trust bonds are secured by financial assets.
* D: GO bonds are issued by municipalities, not corporations.
References:
* SEC Guide on Corporate Bonds: SEC Corporate Bonds.
NEW QUESTION # 165
An investor owns 100 shares of a company's stock and is very interested in electing a particular individual to the board of directors of the corporation. There are 20 individuals running to fill 10 board seats. If the corporation uses the cumulative voting method, what is the maximum number of votes the investor is permitted to cast for this particular director?
Answer: C
Explanation:
In cumulative voting, shareholders can allocate all their votes to a single candidate. The total number of votes is calculated by multiplying the number of shares owned by the number of seats available:
* Total votes = 100 shares ร 10 seats = 1,000 votes.
* The investor can allocate all votes to one candidate.
* C is correct because cumulative voting allows all votes to be concentrated.
Reference: SIE Study Guide, Chapter 5: Corporate Governance
NEW QUESTION # 166
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