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STC Series 66 General with 100- correct answers(graded A+)
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STC Series 66 General with 100- correct answers(graded A+)
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STC Series 66 General with100% correct
answers(graded A+)
Four C's: Commodities, Currency, Condominiums, Collectibles
Fixed annuities, life insurance, endowment policies - answer List of
things that are not a security
Yes - answer Are rights and warrant securities
Yes - answer Are investment contracts securities
Yes - answer Are preorganization certificates securities?
Yes - answer Are certificate of participating in any profit sharing
agreement securities?
Yes - answer Are certificate in any oil, gas, mining lease contract
securities?
Yes - answer Are limited partnerships securities
yes - answer Are variable contracts securities?
Yes - answer Are viatical investment securities
, True - answer True or false: a stop order cannot be issued against
an effective registration based on facts the Administrator knew
when the registration became effective unless proceedings are
instituted within 30 days
Yes - answer Do private placement and issuers of investment
company shares (those who are exempt from state registration)
need to notice file?
No - answer Can administrator prohibit the sale of a federal
covered security?
Yes - answer Are mortgage backed securities sold to a bank or
from a bank an example of an exempt transaction
No - answer Can an Administrator issue a stop order on a security
listed on the Stock Exchange
5 years - answer What is the statute of limitations for criminal
violations under the USA?
within 10 days of the end of each quarter - answer How many years
are you required to keep a record of every transaction in a security
for a client's account?
No - answer are bond ratings required on trade confirmation?
a legitimate business purpose - answer in order to receive the full
potential tax benefits, family limited partnerships must have
No - answer is unknowingly making misrepresentations regarding a
security fraudulent for an agent?
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