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FINRA Practice Exam Questions and Answers | 100% Pass
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FINRA Practice Exam Questions and Answers | 100% Pass In the event of a stock split, which of the following parties is required to maintain a record of the shareholders eligible to receive the additional shares? A: DTC B: Issuer C: Custodian D: Transfer Agent - ️️ Correct-D: Transfer Age...

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  • September 25, 2024
  • 9
  • 2024/2025
  • Exam (elaborations)
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  • finra practice exam questions and answers 100 p

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TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024

FINRA Practice Exam Questions and
Answers | 100% Pass

In the event of a stock split, which of the following parties is required to maintain a

record of the shareholders eligible to receive the additional shares?

A: DTC

B: Issuer

C: Custodian

D: Transfer Agent - ✔️✔️Correct-D: Transfer Agent

Broker-dealer ABC seeks to underwrite a municipal securities offering by a local town in

which the mayor is currently seeking re-election. A municipal finance professional who

resides in the town and works for ABS contributed $200 to the mayor's re-election

campaign 13 months ago. If the employee wants to support the campaign further

without impacting the municipal securities business of the firm, he is permitted to make

an additional contribution of up to what amount?

A: 50

B: 100

C: 150

D: 250 - ✔️✔️Correct-A: 50

The redemption value of an open-ended investment company's shares is based on the:

A: previous offering price

1/9

, TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024
B:previous closing NAV

C:NAV computed after the order is received

D: offering price computed after the order is received - ✔️✔️Correct-C:NAV computed

after the order is received

The primary purpose of a syndicate desk in the context of an equity offering is to:

A: determine the list of selling shareholders

B: build an order book and allocate the stock

C: solicit interest from investors in the stock offering

D: chaperone company management during the road show - ✔️✔️Correct-B: build an

order book and allocate the stock

Roth 401(k) and Roth IRA plans share which of the following features?

A: contributions are made pretax

b: neither account has max contribution limits

C: neither account is subject to early distribution penalties

D: qualified distributions are excluded from federal income tax - ✔️✔️Correct-D: qualified

distributions are excluded from federal income tax

All of the following risks apply to both foreign and domestic debt instruments except:

A: political

B: exchange

C: repayment

D: interest rate - ✔️✔️Correct-C: repayment

2/9

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