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Today’s edition of the Wall Street Journal carried a front page story regarding a federal lawsuit that has been filed against a software manufacturer for monopolistic practices. The CFO of the company called his broker today and sold some of the shares he owns in the company. Which of the following statements are true?I. The CFO is guilty of illegal insider trading.II. If the agent who effected the transaction for the CFO knew he was CFO of the software company, the agent is guilty of illegal insider trading.III. The broker-dealer for whom the agent works may have its license suspended or revoked if its agent has knowingly executed this illegal insider trade for not having supervised the agent properly.
A. I only
B. I and II only
C. I, II, and III
D. None of the statements is true.
Which of the following statements regarding an open-end investment company is not true?
A. Its shares are bought and sold through the company.
B. Its securities are federal covered.
C. Its shares may sell for either net asset value or greater than net asset value, but not below
D. Its shares are bought and sold on exchange floors.
Registration by coordination is provided for by which of the following federal securities acts?
A. Securities Act of 1933
B. Securities and Exchange Act of 1934
C. Investment Advisers Act of 1940
D. Investment Company Act of 1940
You execute a stock transaction for a client on Thursday, September 23rd. The settlement date on the order ticket will be
A. Thursday, September 23rd.
B. Monday, September 27th.
C. Friday, September 24th.
D. Tuesday, September 28th.
In accordance with the National Securities Markets Improvement Act of 1996, which of the following is a federal covered adviser and, therefore, exempt from registering with the state Administrator?I. An adviser who does business in 26 statesII. An adviser who manages the portfolio of a mutual fund that is registered with the SEC.III. An adviser with $35 million in assets under management
A. All of the selections meet the qualifications of a federal covered adviser.
B. I and II only
C. II and III only
D. I and III only
Layered Corporation wants to issue a bond that will have warrants attached. Each warrant gives the holder the right to buy 5 shares of Layered’s common stock at a price stipulated on the warrant. In this instance, Layered must file to register which of the following securities with the state?I. the bondsII. the warrants III. the common stock
A. I only
B. I and III only
C. I and II only
D. I, II, and III
Your client calls you with a market order to purchase 500 shares of the stock of Oracle and asks when payment will be due. If today is Wednesday, September 15th, you inform the client that payment is due on
A. Monday, September 20th.
B. Thursday, September 16th.
C. Friday, September 17th.
D. Saturday, September 18th.
To say a security is “exempt,” means thatI. it is exempt from the state’s anti-fraud laws. II. it is exempt from state registration requirements. III. any transaction involving it is considered to be an exempt transaction.
A. I, II, and III
B. I and II only
C. II and III only
D. II only
Alice Wonder called her broker on Tuesday, August 10th, with a market order to buy 10 calls on the stock of Abbott Laboratories. Under normal conditions, Alice will have to pay for the calls on
A. Wednesday, August 11th.
B. Tuesday, August 10th.
C. Friday, August 13th.
D. Monday, August 16th.
The Administrator may not introduce a stop order to deny, revoke, or suspend the effective registration of a security based on facts that were disclosed during the registration process unless he does so within
A. 30 days.
B. 45 days.
C. 60 days.
D. 1 year.
The Administrator of a state will deny the registration of a security ifI. the mandated filing fee has not been paid. II. the compensation of the underwriters is excessive. III. the registration statement is incomplete. IV. the issuer is registering the security through the registration by coordination process and has not complied with all the stipulated requirements.
A. I, II, III, or IV
B. I or III only
C. III or IV only
D. I, III or IV only
The settlement date refers to
A. the date the order to purchase or sell the security is sent to the market.
B. the date the buyer must pay for the securities purchased.
C. the date the order to purchase or sell a security is actually executed. This may differ from the date that the order is sent to the market in the cases of limit or stop orders.
D. the latest date on which broker-dealers can file their quarterly financial statements with the Administrator of the state.
Which of the following would not be found in a tombstone advertisement?
A. the price at which the security will be offered
B. the names of the underwriters
C. the name of the issuer
D. the interest rate and time to maturity of a bond issue
A tombstone advertisement is
A. an offer to sell a new security.
B. the announcement of a new security that may become available for purchase.
C. the only type of advertisement that an investment advisory firm is allowed to use.
D. an offer to sell a new security that is being issued by an Arizona firm.
The trade confirmation must be received by the customer no later than
A. one week after the settlement date.
B. the settlement date.
C. the day after the trade takes place.
D. five business days after the settlement date.
Which of the following may be given to prospective investors during the “cooling off period?”
A. a tombstone advertisement
B. a final prospectus
C. a copy of the registration statement
D. all of the above
To continue operating as an agent, broker-dealer, investment adviser, or investment adviser representative next year, you must pay the filing fee to renew your license with the state Administrator by
A. January 15th of the new year.
B. January 30th of the new year.
C. December 31st of this year.
D. the anniversary date of the original issue date on your license.
If an issuer registers securities with the state, how long can the documentation supplied in the registration statement for those securities be incorporated by reference only into a registration statement for future securities the issuer wants to offer for sale?
A. one year
B. two years
C. five years
D. seven years
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