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GREEN LIGHT EXAM 2 QUESTIONS WITH ANSWERS
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GREEN LIGHT EXAM 2 QUESTIONS WITH ANSWERS ERISA stipulates that employers with qualified plans are not permitted to exclude employees who have worked for the employer at least one year and - Answer-are age 21 or older and have worked a minimum of 1,000 hours during the year When illicit funds h...

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  • August 4, 2024
  • 4
  • 2024/2025
  • Exam (elaborations)
  • Questions & answers

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  • green light
  • green light exam 2
  • green light exam 2 questions with answers

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  • GREEN LIGHT
  • GREEN LIGHT

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GREEN LIGHT EXAM 2 QUESTIONS
WITH ANSWERS

ERISA stipulates that employers with qualified plans are not permitted to exclude
employees who have worked for the employer at least one year and - Answer-are age
21 or older and have worked a minimum of 1,000 hours during the year

When illicit funds have entered the banking system undetected and appear to be
legitimate, the funds are referred to as - Answer-integrated

When a broker-dealer is not acting for its own account but is making securities
transactions for the accounts of others, the firm is acting as a - Answer-broker

The practice of selling dividends is prohibited because - Answer-the amount of the
dividend is already included in the price the customer pays for the fund

A withdrawal from an IRA may be made prior to age 59 1/2 without incurring a 10%
penalty tax in which of the following situations? - Answer-to pay for the college tuition of
the investor's daughter

Broker-dealers must provide a privacy notice to every consumer - Answer-before
disclosing nonpublic, personal information

Which of the following statements is TRUE concerning filing a registration application
with FINRA? - Answer-It is a violation for an application to be incomplete or misleading

A security with a high beta - Answer-outperforms the market when its gaining and
underperforms the market when its losing

Under the New Issue Rule, all of the following persons are defined as restricted
persons, EXCEPT - Answer-the brother of a registered person of a broker-dealer who
has an account with a different broker-dealer

When an ETF is purchased, what is the transaction cost paid by the client? - Answer-a
commission

The Founders Income Fund has declared a dividend that is payable to stockholders of
record on Thursday, May 29. This mutual fund's ex-dividend will typically be on -
Answer-the date that is set by the fund or its principal underwriter (sponsor)

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