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NEW QUESTION # 61
Company ABC stock currently trades on an exchange. An ABC insider wants to sell a large number of shares of her privately held ABC stock. ABC files the necessary paperwork to register the shares, but the insider decides to wait and sell the stock at a later date. Which of the following terms best describes the type of offering that is occurring in this situation?
Answer: C
Explanation:
Step by Step Explanation:
* Secondary Offering: Involves the sale of shares by an existing shareholder, such as an insider, rather than the company itself issuing new shares.
* Incorrect Options:
* A: Rights offerings involve giving existing shareholders the opportunity to buy additional shares.
* B: Private offerings are not registered with the SEC and involve limited investors.
* C: An exempt offering refers to securities exempt from SEC registration, such as Regulation D offerings.
SEC Guide on Secondary Offerings: SEC Secondary Offerings.
NEW QUESTION # 62
Which of the following assets is not covered under the SEC ' s Customer Protection Rule?
Answer: A
Explanation:
The correct answer is C, $250,000 in cash in the customer ' s savings account. The SEC's Customer Protection Rule (Rule 15c3-3 under the Securities Exchange Act of 1934) is designed to protect customer funds and securities held by broker-dealers, not assets held at banks.
Step-by-step, the rule requires broker-dealers to segregate customer securities and maintain a reserve of cash or qualified securities to safeguard customer assets in case the firm fails. This includes securities like stocks and bonds (Choices A and B), which are held in brokerage accounts and therefore fall under the rule's protection.
Choice D, excess margin, is also covered because it represents customer funds held by the broker-dealer beyond what is required for margin purposes. These funds must be included in the reserve computation and are protected under the rule.
However, Choice C refers to cash held in a bank savings account, which is not under the custody of a broker- dealer. Instead, such deposits are typically protected by FDIC insurance, not the SEC's Customer Protection Rule.
Therefore, assets held outside a brokerage relationship-like bank savings-are not covered by the Customer Protection Rule, making Answer C correct.
NEW QUESTION # 63
Beta coefficient is a measure of:
Answer: A
Explanation:
The beta coefficient measures the sensitivity of a stock ' s returns relative to the overall market (usually the S
& P 500). A beta of:
1.0 indicates the stock moves in line with the market.
Greater than 1.0 suggests the stock is more volatile than the market.
Less than 1.0 suggests the stock is less volatile.
D is correct because beta specifically compares the volatility of a stock to the market.
A is incorrect as beta does not measure the market's volatility.
B is incorrect as beta considers both upside and downside movements.
C is incorrect as beta does not measure liquidity.
Reference: SIE Study Guide, Chapter 6: Portfolio Management
NEW QUESTION # 64
Assuming yields are held constant, which of the following statements describes what will occur as a discount bond reaches maturity?
Answer: A
Explanation:
Step by Step Explanation:
* Discount Bonds: These are issued or traded below par value. Over time, their price moves closer to par as they approach maturity, assuming yields remain constant.
* Other Options:
* Par Value Changes: The par value of a bond does not change over time; only its price fluctuates.
SEC and FINRA Bond Basics: SEC Discount Bonds.
NEW QUESTION # 65
Which of the following responses describes treasury stock?
Answer: B
Explanation:
Treasury stock refers to shares that were issued by a company and subsequently repurchased by the company.
These shares are held in the company's treasury and are not considered outstanding.
* C is correctbecause treasury stock is stock reacquired by the issuer.
* Ais incorrect because authorized but unissued stock has never been issued.
* Bis incorrect because restricted stock refers to shares issued with restrictions on transferability, not reacquired stock.
* Dis incorrect because it incorrectly refers to government securities, not corporate stock.
NEW QUESTION # 66
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