問題1
In the offering of new securities, members of the syndicate are permitted to sell to other dealers less the
reallowance. The amount of the reallowance is determined by:
In the offering of new securities, members of the syndicate are permitted to sell to other dealers less the
reallowance. The amount of the reallowance is determined by:
正確答案: D
說明：（僅 NewDumps 成員可見）
問題2
A large manufacturing company has current assets of approximately $9,400,000 and current liabilities of
about $4,900,000. Which of the following statements is true about the current ratio?
A large manufacturing company has current assets of approximately $9,400,000 and current liabilities of
about $4,900,000. Which of the following statements is true about the current ratio?
正確答案: A
說明：（僅 NewDumps 成員可見）
問題3
In June, Bubba bought 100 shares of XYZ at $35. In November, he bought a listed put in XYZ with a $35
strike price and a July expiration for a premium of $600. In April, Bubba exercises the put option and uses
his stock for delivery. What is his resulting tax consequence?
In June, Bubba bought 100 shares of XYZ at $35. In November, he bought a listed put in XYZ with a $35
strike price and a July expiration for a premium of $600. In April, Bubba exercises the put option and uses
his stock for delivery. What is his resulting tax consequence?
正確答案: C
說明：（僅 NewDumps 成員可見）
問題4
To accommodate a customer's order to buy an over-the-counter stock, a broker/dealer is permitted to:
To accommodate a customer's order to buy an over-the-counter stock, a broker/dealer is permitted to:
正確答案: C
說明：（僅 NewDumps 成員可見）
問題5
The preferred stock of Greatest Technology Corporation has a $100 par and is convertible into four
shares of common stock. The preferred is trading at 104.50. The preferred is callable at 101. If the
common stock price is presently 27.89, which of the following actions would be a successful arbitrage:
The preferred stock of Greatest Technology Corporation has a $100 par and is convertible into four
shares of common stock. The preferred is trading at 104.50. The preferred is callable at 101. If the
common stock price is presently 27.89, which of the following actions would be a successful arbitrage:
正確答案: C
說明：（僅 NewDumps 成員可見）
問題6
Bubba Corporation has a registered public offering of 500,000 shares at $36. Of these, 300,000 shares
were authorized by unissued and 200,000 shares were sold on behalf of an affiliated person. What is
evident from this information?
Bubba Corporation has a registered public offering of 500,000 shares at $36. Of these, 300,000 shares
were authorized by unissued and 200,000 shares were sold on behalf of an affiliated person. What is
evident from this information?
正確答案: B
說明：（僅 NewDumps 成員可見）
問題7
The total assets of a corporation are $840,000, of which $350,000 are current items. Total liabilities are
$ 460,000, of which $290,00 are fixed obligations. How much is the corporation's working capital?
The total assets of a corporation are $840,000, of which $350,000 are current items. Total liabilities are
$ 460,000, of which $290,00 are fixed obligations. How much is the corporation's working capital?
正確答案: D
說明：（僅 NewDumps 成員可見）
問題8
Which of the following is least relevant in evaluating the safety of a general obligation bond?
Which of the following is least relevant in evaluating the safety of a general obligation bond?
正確答案: B
說明：（僅 NewDumps 成員可見）
問題9
What does the bond buyer placement ratio represent?
What does the bond buyer placement ratio represent?
正確答案: D
說明：（僅 NewDumps 成員可見）
問題10
For what time period does a Form 144 remain in effect?
For what time period does a Form 144 remain in effect?
正確答案: A
說明：（僅 NewDumps 成員可見）
問題11
Under an initial federal requirement of 70% equity, Bubba purchases 100 shares of XYZ at $40 per share
and wishes to satisfy the margin call by delivering another listed security into his account. He may do so
by depositing stocks with a market value of:
Under an initial federal requirement of 70% equity, Bubba purchases 100 shares of XYZ at $40 per share
and wishes to satisfy the margin call by delivering another listed security into his account. He may do so
by depositing stocks with a market value of:
正確答案: C
說明：（僅 NewDumps 成員可見）
問題12
The FINRA Conduct Rules permit a transaction made "seller's option" to be delivered earlier than the
expiration of the contract if:
The FINRA Conduct Rules permit a transaction made "seller's option" to be delivered earlier than the
expiration of the contract if:
正確答案: A
說明：（僅 NewDumps 成員可見）
問題13
A bank or trust company that is acting as custodian for a mutual fund does which of the following?
A bank or trust company that is acting as custodian for a mutual fund does which of the following?
正確答案: C
說明：（僅 NewDumps 成員可見）
問題14
Assuming all of the following bonds from the same issuer are callable now, which one would most likely
get called first?
Assuming all of the following bonds from the same issuer are callable now, which one would most likely
get called first?
正確答案: B
說明：（僅 NewDumps 成員可見）