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GREEN LIGHT EXAM 2 | Questions And Answers Latest {2024- 2025} A+ Graded | 100%Verified
Listed equity options cease trading at - 4:00 PM Eastern Time on the expiration date
The expiration date for equity options is? - third Friday of the expiration month, at 11:59 PM Eastern
Time
Which of the following is TRUE concerning the beneficiary of a Coverdell ESA? - contributions can be
made until age 18 and must be used by age 30
A person who is employed by a brokerage firm and buys and sells securities for the firm's account is
considered a - trader
An investor notices a specific stock is trading at a higher price on one exchange than on another. If the
investor takes advantage of this difference, it's referred to as - arbitrage
Regarding exchange-traded options, all of the following are TRUE statements, EXCEPT - they are settled
on the second business day (T + 2)
Which of the following may charge performance-based fees? - hedge funds
According to the Customer Identification Program, broker-dealers are required to verify each customer's
identity - within a reasonable period
Foremost Corporation has declared a quarterly dividend of 25 cents payable to stockholders of record
on Friday, December 1. The dividend will be paid to all stockholders whose names appear on the record
books of Foremost Corporation on - December 1
Prior to the maturity of a variable-rate demand obligation, an investor has the right to receive the - par
value plus accrued interest
, Which of the following is typically completed prior to determining whether to issue a revenue bond? -
feasibility study
Which of the following trades does NOT fall under the jurisdiction of the SEC? - the sale of a U.S.
company's stock by a broker-dealer in Paris to an investment fund in Geneva
If an issuer's convertible bonds are converted by bondholders, what is the effect on the issuer's
outstanding common stock? - it will increase the number of outstanding shares
All of the following statements are TRUE regarding private securities transactions that are executed by
an associated person of a member firm, EXCEPT - the transactions may not involve private placements,
even if the activity is otherwise acceptable
Many investors prefer to receive variable annuity payments under the straight-life payout option
because it - provides the maximum cash flow of all payout options
ERISA stipulates that employers with qualified plans are not permitted to exclude employees who have
worked for the employer at least one year and - 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 - 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 - broker
The practice of selling dividends is prohibited because - 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? - to pay for the college tuition of the investor's daughter
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