{"id":96938,"date":"2025-02-25T03:38:57","date_gmt":"2025-02-25T03:38:57","guid":{"rendered":"https:\/\/www.dumpsbase.com\/freedumps\/?p=96938"},"modified":"2025-02-25T03:38:57","modified_gmt":"2025-02-25T03:38:57","slug":"finra-sie-dumps-v8-02-try-the-best-study-materials-2025-to-prepare-for-your-securities-industry-essentials-exam-sie-today","status":"publish","type":"post","link":"https:\/\/www.dumpsbase.com\/freedumps\/finra-sie-dumps-v8-02-try-the-best-study-materials-2025-to-prepare-for-your-securities-industry-essentials-exam-sie-today.html","title":{"rendered":"FINRA SIE Dumps (V8.02) &#8211; Try the Best Study Materials 2025 to Prepare for Your Securities Industry Essentials Exam (SIE) Today"},"content":{"rendered":"<p>The Securities Industry Essentials (SIE) is a FINRA exam for aspiring securities professionals. This entry-level test evaluates your grasp of basic industry knowledge, including core concepts like investment products and their risks, market structure, regulatory agency roles, and prohibited practices. If you want to surpass those around you, you should get the SIE dumps from DumpsBase for preparation. DumpsBase\u2019s SIE dumps (V8.02) are newly released as the best study materials for your preparation. These dumps contain 164 practice exam questions and answers in total, which are based on the exam&#8217;s core concepts. DumpsBase SIE dumps are the ultimate resource available for identifying your areas of weakness in your preparation for the exam. With all of the DumpsBase, you can be sure that your money will be saved by offering a 100% money-back guarantee.<\/p>\n<h2><em><span style=\"background-color: #00ffff;\">Check the SIE free demo below<\/span><\/em> to verify the FINRA SIE dumps (V8.02):<\/h2>\n<script>\n\t  window.fbAsyncInit = function() {\n\t    FB.init({\n\t      appId            : '622169541470367',\n\t      autoLogAppEvents : true,\n\t      xfbml            : true,\n\t      version          : 'v3.1'\n\t    });\n\t  };\n\t\n\t  (function(d, s, id){\n\t     var js, fjs = d.getElementsByTagName(s)[0];\n\t     if (d.getElementById(id)) {return;}\n\t     js = d.createElement(s); js.id = id;\n\t     js.src = \"https:\/\/connect.facebook.net\/en_US\/sdk.js\";\n\t     fjs.parentNode.insertBefore(js, fjs);\n\t   }(document, 'script', 'facebook-jssdk'));\n\t<\/script><script type=\"text\/javascript\" >\ndocument.addEventListener(\"DOMContentLoaded\", function(event) { \nif(!window.jQuery) alert(\"The important jQuery library is not properly loaded in your site. Your WordPress theme is probably missing the essential wp_head() call. You can switch to another theme and you will see that the plugin works fine and this notice disappears. If you are still not sure what to do you can contact us for help.\");\n});\n<\/script>  \n  \n<div  id=\"watupro_quiz\" class=\"quiz-area single-page-quiz\">\n<p id=\"submittingExam9465\" style=\"display:none;text-align:center;\"><img loading=\"lazy\" decoding=\"async\" src=\"https:\/\/www.dumpsbase.com\/freedumps\/wp-content\/plugins\/watupro\/img\/loading.gif\" width=\"16\" height=\"16\"><\/p>\n\n<div class=\"watupro-exam-description\" id=\"description-quiz-9465\"><\/div>\n\n<form action=\"\" method=\"post\" class=\"quiz-form\" id=\"quiz-9465\"  enctype=\"multipart\/form-data\" >\n<div class='watu-question ' id='question-1' style=';'><div id='questionWrap-1'  class='   watupro-question-id-378740'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>1. <\/span>Which of the following terms describes an offer to purchase some or all shareholders' shares in a corporation, usually at a premium to the market price?<\/div><input type='hidden' name='question_id[]' id='qID_1' value='378740' \/><input type='hidden' id='answerType378740' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378740[]' id='answer-id-1474033' class='answer   answerof-378740 ' value='1474033'   \/><label for='answer-id-1474033' id='answer-label-1474033' class=' answer'><span>Tender<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378740[]' id='answer-id-1474034' class='answer   answerof-378740 ' value='1474034'   \/><label for='answer-id-1474034' id='answer-label-1474034' class=' answer'><span>Stock split<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378740[]' id='answer-id-1474035' class='answer   answerof-378740 ' value='1474035'   \/><label for='answer-id-1474035' id='answer-label-1474035' class=' answer'><span>Redemption<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378740[]' id='answer-id-1474036' class='answer   answerof-378740 ' value='1474036'   \/><label for='answer-id-1474036' id='answer-label-1474036' class=' answer'><span>Class action<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-2' style=';'><div id='questionWrap-2'  class='   watupro-question-id-378741'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>2. <\/span>Which of the following statements best describes a characteristic of 529 savings plan accounts?<\/div><input type='hidden' name='question_id[]' id='qID_2' value='378741' \/><input type='hidden' id='answerType378741' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378741[]' id='answer-id-1474037' class='answer   answerof-378741 ' value='1474037'   \/><label for='answer-id-1474037' id='answer-label-1474037' class=' answer'><span>There are no contribution limits to the account.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378741[]' id='answer-id-1474038' class='answer   answerof-378741 ' value='1474038'   \/><label for='answer-id-1474038' id='answer-label-1474038' class=' answer'><span>The number of contributors to the account is limited.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378741[]' id='answer-id-1474039' class='answer   answerof-378741 ' value='1474039'   \/><label for='answer-id-1474039' id='answer-label-1474039' class=' answer'><span>Using funds for undergraduate or graduate studies is permissible.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378741[]' id='answer-id-1474040' class='answer   answerof-378741 ' value='1474040'   \/><label for='answer-id-1474040' id='answer-label-1474040' class=' answer'><span>Earnings are taxed to the donor at the time of a qualified withdrawal.<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-3' style=';'><div id='questionWrap-3'  class='   watupro-question-id-378742'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>3. <\/span>Which of the following statements is true regarding the ownership of investment company shares held as tenants in common?<\/div><input type='hidden' name='question_id[]' id='qID_3' value='378742' \/><input type='hidden' id='answerType378742' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378742[]' id='answer-id-1474041' class='answer   answerof-378742 ' value='1474041'   \/><label for='answer-id-1474041' id='answer-label-1474041' class=' answer'><span>All tenants must sign redemption requests.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378742[]' id='answer-id-1474042' class='answer   answerof-378742 ' value='1474042'   \/><label for='answer-id-1474042' id='answer-label-1474042' class=' answer'><span>Any income is distributed evenly among the tenants.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378742[]' id='answer-id-1474043' class='answer   answerof-378742 ' value='1474043'   \/><label for='answer-id-1474043' id='answer-label-1474043' class=' answer'><span>Each tenant has a fractional interest in the investment.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378742[]' id='answer-id-1474044' class='answer   answerof-378742 ' value='1474044'   \/><label for='answer-id-1474044' id='answer-label-1474044' class=' answer'><span>Upon the death of a tenant, all shares in the account are taxable in the estate of the deceased.<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-4' style=';'><div id='questionWrap-4'  class='   watupro-question-id-378743'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>4. <\/span>A broker-dealer (BD) creates a marketing postcard that includes a statement regarding FINRA's endorsement of the BD. <br \/>\r<br>Which of the following responses is true?<\/div><input type='hidden' name='question_id[]' id='qID_4' value='378743' \/><input type='hidden' id='answerType378743' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378743[]' id='answer-id-1474045' class='answer   answerof-378743 ' value='1474045'   \/><label for='answer-id-1474045' id='answer-label-1474045' class=' answer'><span>The statement regarding FINRA's endorsement is not permissible.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378743[]' id='answer-id-1474046' class='answer   answerof-378743 ' value='1474046'   \/><label for='answer-id-1474046' id='answer-label-1474046' class=' answer'><span>The statement is permissible if a principal of the BD approves it in writing prior to use.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378743[]' id='answer-id-1474047' class='answer   answerof-378743 ' value='1474047'   \/><label for='answer-id-1474047' id='answer-label-1474047' class=' answer'><span>The statement is permissible if the statement is approved in writing by FINRA prior to use.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378743[]' id='answer-id-1474048' class='answer   answerof-378743 ' value='1474048'   \/><label for='answer-id-1474048' id='answer-label-1474048' class=' answer'><span>The statement is permissible if the postcard does not discuss specific investment opportunities.<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-5' style=';'><div id='questionWrap-5'  class='   watupro-question-id-378744'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>5. <\/span>According to FINRA rules, under which of the following circumstances, if any, is a member firm permitted to send gifts to a registered representative of another member firm?<\/div><input type='hidden' name='question_id[]' id='qID_5' value='378744' \/><input type='hidden' id='answerType378744' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378744[]' id='answer-id-1474049' class='answer   answerof-378744 ' value='1474049'   \/><label for='answer-id-1474049' id='answer-label-1474049' class=' answer'><span>Under no circumstances<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378744[]' id='answer-id-1474050' class='answer   answerof-378744 ' value='1474050'   \/><label for='answer-id-1474050' id='answer-label-1474050' class=' answer'><span>When the value of all gifts during a period of one year does not exceed $100<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378744[]' id='answer-id-1474051' class='answer   answerof-378744 ' value='1474051'   \/><label for='answer-id-1474051' id='answer-label-1474051' class=' answer'><span>When no single gift exceeds $100 and there is no limit on the number of gifts<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378744[]' id='answer-id-1474052' class='answer   answerof-378744 ' value='1474052'   \/><label for='answer-id-1474052' id='answer-label-1474052' class=' answer'><span>When no single gift exceeds $100 in value and the maximum value of all gifts per year equals $250<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-6' style=';'><div id='questionWrap-6'  class='   watupro-question-id-378745'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>6. <\/span>The cash value of a variable life insurance policy is affected by which of the following factors?<\/div><input type='hidden' name='question_id[]' id='qID_6' value='378745' \/><input type='hidden' id='answerType378745' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378745[]' id='answer-id-1474053' class='answer   answerof-378745 ' value='1474053'   \/><label for='answer-id-1474053' id='answer-label-1474053' class=' answer'><span>Changes in the beneficiary<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378745[]' id='answer-id-1474054' class='answer   answerof-378745 ' value='1474054'   \/><label for='answer-id-1474054' id='answer-label-1474054' class=' answer'><span>Changes in the death benefit<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378745[]' id='answer-id-1474055' class='answer   answerof-378745 ' value='1474055'   \/><label for='answer-id-1474055' id='answer-label-1474055' class=' answer'><span>Fluctuating market conditions<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378745[]' id='answer-id-1474056' class='answer   answerof-378745 ' value='1474056'   \/><label for='answer-id-1474056' id='answer-label-1474056' class=' answer'><span>Contingent deferred sales charges<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-7' style=';'><div id='questionWrap-7'  class='   watupro-question-id-378746'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>7. <\/span>An investor wants to purchase additional mutual fund shares with income distributed by the fund. <br \/>\r<br>Which of the following fund options permits this?<\/div><input type='hidden' name='question_id[]' id='qID_7' value='378746' \/><input type='hidden' id='answerType378746' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378746[]' id='answer-id-1474057' class='answer   answerof-378746 ' value='1474057'   \/><label for='answer-id-1474057' id='answer-label-1474057' class=' answer'><span>Asset reallocation<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378746[]' id='answer-id-1474058' class='answer   answerof-378746 ' value='1474058'   \/><label for='answer-id-1474058' id='answer-label-1474058' class=' answer'><span>Dollar cost averaging<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378746[]' id='answer-id-1474059' class='answer   answerof-378746 ' value='1474059'   \/><label for='answer-id-1474059' id='answer-label-1474059' class=' answer'><span>Dividend reinvestment<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378746[]' id='answer-id-1474060' class='answer   answerof-378746 ' value='1474060'   \/><label for='answer-id-1474060' id='answer-label-1474060' class=' answer'><span>Capital gains reinvestment<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-8' style=';'><div id='questionWrap-8'  class='   watupro-question-id-378747'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>8. <\/span>An investor generally purchases an open-end mutual fund from which of the following parties?<\/div><input type='hidden' name='question_id[]' id='qID_8' value='378747' \/><input type='hidden' id='answerType378747' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378747[]' id='answer-id-1474061' class='answer   answerof-378747 ' value='1474061'   \/><label for='answer-id-1474061' id='answer-label-1474061' class=' answer'><span>The NYSE<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378747[]' id='answer-id-1474062' class='answer   answerof-378747 ' value='1474062'   \/><label for='answer-id-1474062' id='answer-label-1474062' class=' answer'><span>The fund's custodian<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378747[]' id='answer-id-1474063' class='answer   answerof-378747 ' value='1474063'   \/><label for='answer-id-1474063' id='answer-label-1474063' class=' answer'><span>The fund's underwriter<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378747[]' id='answer-id-1474064' class='answer   answerof-378747 ' value='1474064'   \/><label for='answer-id-1474064' id='answer-label-1474064' class=' answer'><span>An existing shareholder<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-9' style=';'><div id='questionWrap-9'  class='   watupro-question-id-378748'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>9. <\/span>Shares in a private investment in public equity (PIPE) offering are priced:<\/div><input type='hidden' name='question_id[]' id='qID_9' value='378748' \/><input type='hidden' id='answerType378748' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378748[]' id='answer-id-1474065' class='answer   answerof-378748 ' value='1474065'   \/><label for='answer-id-1474065' id='answer-label-1474065' class=' answer'><span>At the current market value per share.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378748[]' id='answer-id-1474066' class='answer   answerof-378748 ' value='1474066'   \/><label for='answer-id-1474066' id='answer-label-1474066' class=' answer'><span>Below the current market value per share.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378748[]' id='answer-id-1474067' class='answer   answerof-378748 ' value='1474067'   \/><label for='answer-id-1474067' id='answer-label-1474067' class=' answer'><span>Above the current market value per share.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378748[]' id='answer-id-1474068' class='answer   answerof-378748 ' value='1474068'   \/><label for='answer-id-1474068' id='answer-label-1474068' class=' answer'><span>At the public offering price (POP) as determined by the underwriters.<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-10' style=';'><div id='questionWrap-10'  class='   watupro-question-id-378749'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>10. <\/span>Rising economic activity is most likely to increase revenues of which of the following sectors?<\/div><input type='hidden' name='question_id[]' id='qID_10' value='378749' \/><input type='hidden' id='answerType378749' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378749[]' id='answer-id-1474069' class='answer   answerof-378749 ' value='1474069'   \/><label for='answer-id-1474069' id='answer-label-1474069' class=' answer'><span>Utilities<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378749[]' id='answer-id-1474070' class='answer   answerof-378749 ' value='1474070'   \/><label for='answer-id-1474070' id='answer-label-1474070' class=' answer'><span>Healthcare<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378749[]' id='answer-id-1474071' class='answer   answerof-378749 ' value='1474071'   \/><label for='answer-id-1474071' id='answer-label-1474071' class=' answer'><span>Consumer staples<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378749[]' id='answer-id-1474072' class='answer   answerof-378749 ' value='1474072'   \/><label for='answer-id-1474072' id='answer-label-1474072' class=' answer'><span>Consumer discretionary<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-11' style=';'><div id='questionWrap-11'  class='   watupro-question-id-378750'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>11. <\/span>The provision that allows a bond issuer to purchase bonds from customers prior to the maturity date on the bond is known as a:<\/div><input type='hidden' name='question_id[]' id='qID_11' value='378750' \/><input type='hidden' id='answerType378750' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378750[]' id='answer-id-1474073' class='answer   answerof-378750 ' value='1474073'   \/><label for='answer-id-1474073' id='answer-label-1474073' class=' answer'><span>Put<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378750[]' id='answer-id-1474074' class='answer   answerof-378750 ' value='1474074'   \/><label for='answer-id-1474074' id='answer-label-1474074' class=' answer'><span>Call<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378750[]' id='answer-id-1474075' class='answer   answerof-378750 ' value='1474075'   \/><label for='answer-id-1474075' id='answer-label-1474075' class=' answer'><span>Conversion<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378750[]' id='answer-id-1474076' class='answer   answerof-378750 ' value='1474076'   \/><label for='answer-id-1474076' id='answer-label-1474076' class=' answer'><span>Defeasement<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-12' style=';'><div id='questionWrap-12'  class='   watupro-question-id-378751'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>12. <\/span>Which of the following types of accounts permits an investor to borrow money from a broker-dealer to help pay for a trade?<\/div><input type='hidden' name='question_id[]' id='qID_12' value='378751' \/><input type='hidden' id='answerType378751' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378751[]' id='answer-id-1474077' class='answer   answerof-378751 ' value='1474077'   \/><label for='answer-id-1474077' id='answer-label-1474077' class=' answer'><span>Cash<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378751[]' id='answer-id-1474078' class='answer   answerof-378751 ' value='1474078'   \/><label for='answer-id-1474078' id='answer-label-1474078' class=' answer'><span>Margin<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378751[]' id='answer-id-1474079' class='answer   answerof-378751 ' value='1474079'   \/><label for='answer-id-1474079' id='answer-label-1474079' class=' answer'><span>An individual retirement account (IRA)<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378751[]' id='answer-id-1474080' class='answer   answerof-378751 ' value='1474080'   \/><label for='answer-id-1474080' id='answer-label-1474080' class=' answer'><span>Delivery versus payment (DVP) \/ receive versus payment (RVP)<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-13' style=';'><div id='questionWrap-13'  class='   watupro-question-id-378752'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>13. <\/span>A rating agency downgrades a corporation's credit rating. <br \/>\r<br>Which of the following effects is this action most likely to have on the yield and price of the corporation's outstanding bonds?<\/div><input type='hidden' name='question_id[]' id='qID_13' value='378752' \/><input type='hidden' id='answerType378752' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378752[]' id='answer-id-1474081' class='answer   answerof-378752 ' value='1474081'   \/><label for='answer-id-1474081' id='answer-label-1474081' class=' answer'><span>Yield will fall; price will fall.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378752[]' id='answer-id-1474082' class='answer   answerof-378752 ' value='1474082'   \/><label for='answer-id-1474082' id='answer-label-1474082' class=' answer'><span>Yield will fall; price will rise.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378752[]' id='answer-id-1474083' class='answer   answerof-378752 ' value='1474083'   \/><label for='answer-id-1474083' id='answer-label-1474083' class=' answer'><span>Yield will rise; price will fall.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378752[]' id='answer-id-1474084' class='answer   answerof-378752 ' value='1474084'   \/><label for='answer-id-1474084' id='answer-label-1474084' class=' answer'><span>Yield will rise; price will rise.<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-14' style=';'><div id='questionWrap-14'  class='   watupro-question-id-378753'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>14. <\/span>Which of the following responses best describes a short sale?<\/div><input type='hidden' name='question_id[]' id='qID_14' value='378753' \/><input type='hidden' id='answerType378753' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378753[]' id='answer-id-1474085' class='answer   answerof-378753 ' value='1474085'   \/><label for='answer-id-1474085' id='answer-label-1474085' class=' answer'><span>A sale of securities that results in a loss<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378753[]' id='answer-id-1474086' class='answer   answerof-378753 ' value='1474086'   \/><label for='answer-id-1474086' id='answer-label-1474086' class=' answer'><span>A sale of securities that the investor does not own<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378753[]' id='answer-id-1474087' class='answer   answerof-378753 ' value='1474087'   \/><label for='answer-id-1474087' id='answer-label-1474087' class=' answer'><span>A sale of securities that results in an unsecured debit balance in the investor's account<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378753[]' id='answer-id-1474088' class='answer   answerof-378753 ' value='1474088'   \/><label for='answer-id-1474088' id='answer-label-1474088' class=' answer'><span>A sale of securities that the investor had purchased in his cash account but had not yet paid for<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-15' style=';'><div id='questionWrap-15'  class='   watupro-question-id-378754'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>15. <\/span>A registered representative who is terminated from a broker-dealer must notify FINRA of a residential address change for what period of time after termination?<\/div><input type='hidden' name='question_id[]' id='qID_15' value='378754' \/><input type='hidden' id='answerType378754' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378754[]' id='answer-id-1474089' class='answer   answerof-378754 ' value='1474089'   \/><label for='answer-id-1474089' id='answer-label-1474089' class=' answer'><span>One year<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378754[]' id='answer-id-1474090' class='answer   answerof-378754 ' value='1474090'   \/><label for='answer-id-1474090' id='answer-label-1474090' class=' answer'><span>Two years<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378754[]' id='answer-id-1474091' class='answer   answerof-378754 ' value='1474091'   \/><label for='answer-id-1474091' id='answer-label-1474091' class=' answer'><span>Three years<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378754[]' id='answer-id-1474092' class='answer   answerof-378754 ' value='1474092'   \/><label for='answer-id-1474092' id='answer-label-1474092' class=' answer'><span>Six years<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-16' style=';'><div id='questionWrap-16'  class='   watupro-question-id-378755'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>16. <\/span>A registered representative (RR) owns 500 shares of a thinly traded security. A customer of the firm calls the RR to place a sell order for 10,000 shares of the same security. The RR sells his shares before entering the customer's order to sell. <br \/>\r<br>Which of the following activities has the RR just engaged in?<\/div><input type='hidden' name='question_id[]' id='qID_16' value='378755' \/><input type='hidden' id='answerType378755' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378755[]' id='answer-id-1474093' class='answer   answerof-378755 ' value='1474093'   \/><label for='answer-id-1474093' id='answer-label-1474093' class=' answer'><span>Selling away<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378755[]' id='answer-id-1474094' class='answer   answerof-378755 ' value='1474094'   \/><label for='answer-id-1474094' id='answer-label-1474094' class=' answer'><span>Front running<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378755[]' id='answer-id-1474095' class='answer   answerof-378755 ' value='1474095'   \/><label for='answer-id-1474095' id='answer-label-1474095' class=' answer'><span>Insider trading<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378755[]' id='answer-id-1474096' class='answer   answerof-378755 ' value='1474096'   \/><label for='answer-id-1474096' id='answer-label-1474096' class=' answer'><span>Market manipulation<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-17' style=';'><div id='questionWrap-17'  class='   watupro-question-id-378756'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>17. <\/span>Under SEC Regulation D, which of the following parties is considered an accredited investor?<\/div><input type='hidden' name='question_id[]' id='qID_17' value='378756' \/><input type='hidden' id='answerType378756' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378756[]' id='answer-id-1474097' class='answer   answerof-378756 ' value='1474097'   \/><label for='answer-id-1474097' id='answer-label-1474097' class=' answer'><span>A person whose joint income with their spouse exceeds $200,000 in each of the two most recent years and who has a reasonable expectation of reaching the same income level in the current year.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378756[]' id='answer-id-1474098' class='answer   answerof-378756 ' value='1474098'   \/><label for='answer-id-1474098' id='answer-label-1474098' class=' answer'><span>A person whose net worth, excluding the net equity in their primary residence, exceeds $500,000 at the time of purchase.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378756[]' id='answer-id-1474099' class='answer   answerof-378756 ' value='1474099'   \/><label for='answer-id-1474099' id='answer-label-1474099' class=' answer'><span>A person whose net worth, excluding the net equity in their primary residence, exceeds $1 million at the time of purchase.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378756[]' id='answer-id-1474100' class='answer   answerof-378756 ' value='1474100'   \/><label for='answer-id-1474100' id='answer-label-1474100' class=' answer'><span>A charitable organization, partnership, or corporation whose assets exceed $2.5 million.<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-18' style=';'><div id='questionWrap-18'  class='   watupro-question-id-378757'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>18. <\/span>Which of the following is the primary risk of using asset allocation models without periodic rebalancing?<\/div><input type='hidden' name='question_id[]' id='qID_18' value='378757' \/><input type='hidden' id='answerType378757' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378757[]' id='answer-id-1474101' class='answer   answerof-378757 ' value='1474101'   \/><label for='answer-id-1474101' id='answer-label-1474101' class=' answer'><span>Inflation<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378757[]' id='answer-id-1474102' class='answer   answerof-378757 ' value='1474102'   \/><label for='answer-id-1474102' id='answer-label-1474102' class=' answer'><span>Marketability<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378757[]' id='answer-id-1474103' class='answer   answerof-378757 ' value='1474103'   \/><label for='answer-id-1474103' id='answer-label-1474103' class=' answer'><span>Overweighting<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378757[]' id='answer-id-1474104' class='answer   answerof-378757 ' value='1474104'   \/><label for='answer-id-1474104' id='answer-label-1474104' class=' answer'><span>Interest rate risk<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-19' style=';'><div id='questionWrap-19'  class='   watupro-question-id-378758'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>19. <\/span>An associated person at a member firm receives a complaint from a customer involving allegations of forgery. Once the complaint is received, which of the following actions is required?<\/div><input type='hidden' name='question_id[]' id='qID_19' value='378758' \/><input type='hidden' id='answerType378758' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378758[]' id='answer-id-1474105' class='answer   answerof-378758 ' value='1474105'   \/><label for='answer-id-1474105' id='answer-label-1474105' class=' answer'><span>The member firm must report the event promptly to FINR<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378758[]' id='answer-id-1474106' class='answer   answerof-378758 ' value='1474106'   \/><label for='answer-id-1474106' id='answer-label-1474106' class=' answer'><span>The member firm is not required to report the event to FINRA but must maintain a file of the complaint for four years.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378758[]' id='answer-id-1474107' class='answer   answerof-378758 ' value='1474107'   \/><label for='answer-id-1474107' id='answer-label-1474107' class=' answer'><span>The member firm must complete arbitration to resolve the complaint with the customer before filing a report with FINR<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378758[]' id='answer-id-1474108' class='answer   answerof-378758 ' value='1474108'   \/><label for='answer-id-1474108' id='answer-label-1474108' class=' answer'><span>The member firm must have a principal review the complaint and determine if the forgery occurred before filing a report with FINR<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-20' style=';'><div id='questionWrap-20'  class='   watupro-question-id-378759'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>20. <\/span>The financial risk that a given security is not readily tradable in the market without impacting the market price is known as:<\/div><input type='hidden' name='question_id[]' id='qID_20' value='378759' \/><input type='hidden' id='answerType378759' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378759[]' id='answer-id-1474109' class='answer   answerof-378759 ' value='1474109'   \/><label for='answer-id-1474109' id='answer-label-1474109' class=' answer'><span>Credit risk<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378759[]' id='answer-id-1474110' class='answer   answerof-378759 ' value='1474110'   \/><label for='answer-id-1474110' id='answer-label-1474110' class=' answer'><span>Market risk<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378759[]' id='answer-id-1474111' class='answer   answerof-378759 ' value='1474111'   \/><label for='answer-id-1474111' id='answer-label-1474111' class=' answer'><span>Liquidity risk<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378759[]' id='answer-id-1474112' class='answer   answerof-378759 ' value='1474112'   \/><label for='answer-id-1474112' id='answer-label-1474112' class=' answer'><span>Prepayment risk<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-21' style=';'><div id='questionWrap-21'  class='   watupro-question-id-378760'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>21. <\/span>Before an affiliate of an issuer is permitted to sell 10,000 shares of restricted securities, which of the following conditions must be met?<\/div><input type='hidden' name='question_id[]' id='qID_21' value='378760' \/><input type='hidden' id='answerType378760' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378760[]' id='answer-id-1474113' class='answer   answerof-378760 ' value='1474113'   \/><label for='answer-id-1474113' id='answer-label-1474113' class=' answer'><span>The affiliate must have a holding period of six months.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378760[]' id='answer-id-1474114' class='answer   answerof-378760 ' value='1474114'   \/><label for='answer-id-1474114' id='answer-label-1474114' class=' answer'><span>The company must be traded on a listed stock exchange.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378760[]' id='answer-id-1474115' class='answer   answerof-378760 ' value='1474115'   \/><label for='answer-id-1474115' id='answer-label-1474115' class=' answer'><span>The issuer must notify FINRA of the proposed sale by submitting a Form 144.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378760[]' id='answer-id-1474116' class='answer   answerof-378760 ' value='1474116'   \/><label for='answer-id-1474116' id='answer-label-1474116' class=' answer'><span>The shares to be sold must be less than 10% of the average daily trading volume (ADTV) of the security.<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-22' style=';'><div id='questionWrap-22'  class='   watupro-question-id-378761'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>22. <\/span>Which of the following strategies is best for mitigating the risk of a concentrated position?<\/div><input type='hidden' name='question_id[]' id='qID_22' value='378761' \/><input type='hidden' id='answerType378761' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378761[]' id='answer-id-1474117' class='answer   answerof-378761 ' value='1474117'   \/><label for='answer-id-1474117' id='answer-label-1474117' class=' answer'><span>Diversification<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378761[]' id='answer-id-1474118' class='answer   answerof-378761 ' value='1474118'   \/><label for='answer-id-1474118' id='answer-label-1474118' class=' answer'><span>Use of leverage<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378761[]' id='answer-id-1474119' class='answer   answerof-378761 ' value='1474119'   \/><label for='answer-id-1474119' id='answer-label-1474119' class=' answer'><span>Dollar-cost averaging<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378761[]' id='answer-id-1474120' class='answer   answerof-378761 ' value='1474120'   \/><label for='answer-id-1474120' id='answer-label-1474120' class=' answer'><span>Dividend reinvestment<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-23' style=';'><div id='questionWrap-23'  class='   watupro-question-id-378762'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>23. <\/span>Which of the following rates is the interest rate at which banks borrow and lend to each other on an overnight basis?<\/div><input type='hidden' name='question_id[]' id='qID_23' value='378762' \/><input type='hidden' id='answerType378762' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378762[]' id='answer-id-1474121' class='answer   answerof-378762 ' value='1474121'   \/><label for='answer-id-1474121' id='answer-label-1474121' class=' answer'><span>Prime rate<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378762[]' id='answer-id-1474122' class='answer   answerof-378762 ' value='1474122'   \/><label for='answer-id-1474122' id='answer-label-1474122' class=' answer'><span>Discount rate<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378762[]' id='answer-id-1474123' class='answer   answerof-378762 ' value='1474123'   \/><label for='answer-id-1474123' id='answer-label-1474123' class=' answer'><span>Federal funds rate<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378762[]' id='answer-id-1474124' class='answer   answerof-378762 ' value='1474124'   \/><label for='answer-id-1474124' id='answer-label-1474124' class=' answer'><span>LIBOR<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-24' style=';'><div id='questionWrap-24'  class='   watupro-question-id-378763'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>24. <\/span>A real estate investment trust (REIT) is required to invest what percentage of total assets in real-estate-related assets to maintain favorable tax treatment?<\/div><input type='hidden' name='question_id[]' id='qID_24' value='378763' \/><input type='hidden' id='answerType378763' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378763[]' id='answer-id-1474125' class='answer   answerof-378763 ' value='1474125'   \/><label for='answer-id-1474125' id='answer-label-1474125' class=' answer'><span>At least 50% of total assets<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378763[]' id='answer-id-1474126' class='answer   answerof-378763 ' value='1474126'   \/><label for='answer-id-1474126' id='answer-label-1474126' class=' answer'><span>At least 75% of total assets<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378763[]' id='answer-id-1474127' class='answer   answerof-378763 ' value='1474127'   \/><label for='answer-id-1474127' id='answer-label-1474127' class=' answer'><span>At least 90% of total assets<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378763[]' id='answer-id-1474128' class='answer   answerof-378763 ' value='1474128'   \/><label for='answer-id-1474128' id='answer-label-1474128' class=' answer'><span>100% of assets<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-25' style=';'><div id='questionWrap-25'  class='   watupro-question-id-378764'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>25. <\/span>A bond with a par value of $1,000 that is backed by the taxing power of a local government is known as:<\/div><input type='hidden' name='question_id[]' id='qID_25' value='378764' \/><input type='hidden' id='answerType378764' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378764[]' id='answer-id-1474129' class='answer   answerof-378764 ' value='1474129'   \/><label for='answer-id-1474129' id='answer-label-1474129' class=' answer'><span>A revenue bond<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378764[]' id='answer-id-1474130' class='answer   answerof-378764 ' value='1474130'   \/><label for='answer-id-1474130' id='answer-label-1474130' class=' answer'><span>A Treasury bond<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378764[]' id='answer-id-1474131' class='answer   answerof-378764 ' value='1474131'   \/><label for='answer-id-1474131' id='answer-label-1474131' class=' answer'><span>A corporate bond<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378764[]' id='answer-id-1474132' class='answer   answerof-378764 ' value='1474132'   \/><label for='answer-id-1474132' id='answer-label-1474132' class=' answer'><span>A general obligation (GO) bond<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-26' style=';'><div id='questionWrap-26'  class='   watupro-question-id-378765'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>26. <\/span>A hypothecation agreement gives the broker-dealer the right to engage in which of the following activities?<\/div><input type='hidden' name='question_id[]' id='qID_26' value='378765' \/><input type='hidden' id='answerType378765' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378765[]' id='answer-id-1474133' class='answer   answerof-378765 ' value='1474133'   \/><label for='answer-id-1474133' id='answer-label-1474133' class=' answer'><span>Sharing customers' nonpublic personal information with nonaffiliated third parties<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378765[]' id='answer-id-1474134' class='answer   answerof-378765 ' value='1474134'   \/><label for='answer-id-1474134' id='answer-label-1474134' class=' answer'><span>Entering trades in a customer's account without prior authorization from the customer<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378765[]' id='answer-id-1474135' class='answer   answerof-378765 ' value='1474135'   \/><label for='answer-id-1474135' id='answer-label-1474135' class=' answer'><span>Selling a customer's securities when the customer has failed to pay for trades in a cash account<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378765[]' id='answer-id-1474136' class='answer   answerof-378765 ' value='1474136'   \/><label for='answer-id-1474136' id='answer-label-1474136' class=' answer'><span>Using securities that a customer has bought on margin as collateral to obtain a loan from a bank<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-27' style=';'><div id='questionWrap-27'  class='   watupro-question-id-378766'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>27. <\/span>When is it permissible to exercise European-style options contracts?<\/div><input type='hidden' name='question_id[]' id='qID_27' value='378766' \/><input type='hidden' id='answerType378766' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378766[]' id='answer-id-1474137' class='answer   answerof-378766 ' value='1474137'   \/><label for='answer-id-1474137' id='answer-label-1474137' class=' answer'><span>Only on the last business day before expiration<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378766[]' id='answer-id-1474138' class='answer   answerof-378766 ' value='1474138'   \/><label for='answer-id-1474138' id='answer-label-1474138' class=' answer'><span>Only on the day of expiration<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378766[]' id='answer-id-1474139' class='answer   answerof-378766 ' value='1474139'   \/><label for='answer-id-1474139' id='answer-label-1474139' class=' answer'><span>Only on the day after expiration<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378766[]' id='answer-id-1474140' class='answer   answerof-378766 ' value='1474140'   \/><label for='answer-id-1474140' id='answer-label-1474140' class=' answer'><span>Only on the third Friday of every month<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-28' style=';'><div id='questionWrap-28'  class='   watupro-question-id-378767'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>28. <\/span>At a prospecting event, a registered representative (RR) provides cards for attendees to write down their contact information if they want to have a follow-up meeting with her. <br \/>\r<br>Which of the following actions should the RR take in this situation to comply with telemarketing rules?<\/div><input type='hidden' name='question_id[]' id='qID_28' value='378767' \/><input type='hidden' id='answerType378767' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378767[]' id='answer-id-1474141' class='answer   answerof-378767 ' value='1474141'   \/><label for='answer-id-1474141' id='answer-label-1474141' class=' answer'><span>Obtain the broker-dealer's approval before making a call<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378767[]' id='answer-id-1474142' class='answer   answerof-378767 ' value='1474142'   \/><label for='answer-id-1474142' id='answer-label-1474142' class=' answer'><span>Limit contact with prospects to between 9 a.m. and 9 p.m.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378767[]' id='answer-id-1474143' class='answer   answerof-378767 ' value='1474143'   \/><label for='answer-id-1474143' id='answer-label-1474143' class=' answer'><span>Contact the prospects at will since they provided express written consent<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378767[]' id='answer-id-1474144' class='answer   answerof-378767 ' value='1474144'   \/><label for='answer-id-1474144' id='answer-label-1474144' class=' answer'><span>Prior to contacting the prospects, check all of the names on the cards to make sure they are not on the National Do Not Call Registry<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-29' style=';'><div id='questionWrap-29'  class='   watupro-question-id-378768'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>29. <\/span>Which of the following disclosures is a municipal securities dealer required to provide its customers once every calendar year?<\/div><input type='hidden' name='question_id[]' id='qID_29' value='378768' \/><input type='hidden' id='answerType378768' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378768[]' id='answer-id-1474145' class='answer   answerof-378768 ' value='1474145'   \/><label for='answer-id-1474145' id='answer-label-1474145' class=' answer'><span>The firm's address<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378768[]' id='answer-id-1474146' class='answer   answerof-378768 ' value='1474146'   \/><label for='answer-id-1474146' id='answer-label-1474146' class=' answer'><span>The firm's financial standing<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378768[]' id='answer-id-1474147' class='answer   answerof-378768 ' value='1474147'   \/><label for='answer-id-1474147' id='answer-label-1474147' class=' answer'><span>FINRA violations of all registered representatives<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378768[]' id='answer-id-1474148' class='answer   answerof-378768 ' value='1474148'   \/><label for='answer-id-1474148' id='answer-label-1474148' class=' answer'><span>The location and availability of the MSRB investor brochure<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-30' style=';'><div id='questionWrap-30'  class='   watupro-question-id-378769'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>30. <\/span>Which of the following risks are associated with Treasury securities?<\/div><input type='hidden' name='question_id[]' id='qID_30' value='378769' \/><input type='hidden' id='answerType378769' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378769[]' id='answer-id-1474149' class='answer   answerof-378769 ' value='1474149'   \/><label for='answer-id-1474149' id='answer-label-1474149' class=' answer'><span>Credit risk<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378769[]' id='answer-id-1474150' class='answer   answerof-378769 ' value='1474150'   \/><label for='answer-id-1474150' id='answer-label-1474150' class=' answer'><span>Liquidity risk<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378769[]' id='answer-id-1474151' class='answer   answerof-378769 ' value='1474151'   \/><label for='answer-id-1474151' id='answer-label-1474151' class=' answer'><span>Prepayment risk<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378769[]' id='answer-id-1474152' class='answer   answerof-378769 ' value='1474152'   \/><label for='answer-id-1474152' id='answer-label-1474152' class=' answer'><span>Interest rate risk<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-31' style=';'><div id='questionWrap-31'  class='   watupro-question-id-378770'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>31. <\/span>Which of the following listed securities carries voting rights?<\/div><input type='hidden' name='question_id[]' id='qID_31' value='378770' \/><input type='hidden' id='answerType378770' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378770[]' id='answer-id-1474153' class='answer   answerof-378770 ' value='1474153'   \/><label for='answer-id-1474153' id='answer-label-1474153' class=' answer'><span>Common stock<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378770[]' id='answer-id-1474154' class='answer   answerof-378770 ' value='1474154'   \/><label for='answer-id-1474154' id='answer-label-1474154' class=' answer'><span>Preferred stock<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378770[]' id='answer-id-1474155' class='answer   answerof-378770 ' value='1474155'   \/><label for='answer-id-1474155' id='answer-label-1474155' class=' answer'><span>Corporate bond<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378770[]' id='answer-id-1474156' class='answer   answerof-378770 ' value='1474156'   \/><label for='answer-id-1474156' id='answer-label-1474156' class=' answer'><span>Convertible bond<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-32' style=';'><div id='questionWrap-32'  class='   watupro-question-id-378771'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>32. <\/span>Which of the following statements is true of the comparison between penny stocks and blue-chip stocks?<\/div><input type='hidden' name='question_id[]' id='qID_32' value='378771' \/><input type='hidden' id='answerType378771' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378771[]' id='answer-id-1474157' class='answer   answerof-378771 ' value='1474157'   \/><label for='answer-id-1474157' id='answer-label-1474157' class=' answer'><span>Penny stocks are generally less liquid than blue-chip stocks.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378771[]' id='answer-id-1474158' class='answer   answerof-378771 ' value='1474158'   \/><label for='answer-id-1474158' id='answer-label-1474158' class=' answer'><span>Penny stocks are more likely to pay dividends than blue-chip stocks.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378771[]' id='answer-id-1474159' class='answer   answerof-378771 ' value='1474159'   \/><label for='answer-id-1474159' id='answer-label-1474159' class=' answer'><span>Penny stock prices are generally more stable than blue-chip stock prices.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378771[]' id='answer-id-1474160' class='answer   answerof-378771 ' value='1474160'   \/><label for='answer-id-1474160' id='answer-label-1474160' class=' answer'><span>Penny stock issuers are generally better capitalized than issuers of blue-chip stocks.<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-33' style=';'><div id='questionWrap-33'  class='   watupro-question-id-378772'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>33. <\/span>Assuming yields are held constant, which of the following statements describes what will occur as a discount bond reaches maturity?<\/div><input type='hidden' name='question_id[]' id='qID_33' value='378772' \/><input type='hidden' id='answerType378772' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378772[]' id='answer-id-1474161' class='answer   answerof-378772 ' value='1474161'   \/><label for='answer-id-1474161' id='answer-label-1474161' class=' answer'><span>Its price increases.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378772[]' id='answer-id-1474162' class='answer   answerof-378772 ' value='1474162'   \/><label for='answer-id-1474162' id='answer-label-1474162' class=' answer'><span>Its price decreases.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378772[]' id='answer-id-1474163' class='answer   answerof-378772 ' value='1474163'   \/><label for='answer-id-1474163' id='answer-label-1474163' class=' answer'><span>Its par value increases.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378772[]' id='answer-id-1474164' class='answer   answerof-378772 ' value='1474164'   \/><label for='answer-id-1474164' id='answer-label-1474164' class=' answer'><span>Its par value decreases.<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-34' style=';'><div id='questionWrap-34'  class='   watupro-question-id-378773'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>34. <\/span>Offering 403(b) tax-sheltered annuity accounts to which of the following groups is permissible?<\/div><input type='hidden' name='question_id[]' id='qID_34' value='378773' \/><input type='hidden' id='answerType378773' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378773[]' id='answer-id-1474165' class='answer   answerof-378773 ' value='1474165'   \/><label for='answer-id-1474165' id='answer-label-1474165' class=' answer'><span>Volunteer workers<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378773[]' id='answer-id-1474166' class='answer   answerof-378773 ' value='1474166'   \/><label for='answer-id-1474166' id='answer-label-1474166' class=' answer'><span>Small business owners<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378773[]' id='answer-id-1474167' class='answer   answerof-378773 ' value='1474167'   \/><label for='answer-id-1474167' id='answer-label-1474167' class=' answer'><span>Active duty military personnel<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378773[]' id='answer-id-1474168' class='answer   answerof-378773 ' value='1474168'   \/><label for='answer-id-1474168' id='answer-label-1474168' class=' answer'><span>Employees of a nonprofit hospital<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-35' style=';'><div id='questionWrap-35'  class='   watupro-question-id-378774'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>35. <\/span>Which of the following statements is true about a corporation's balance sheet?<\/div><input type='hidden' name='question_id[]' id='qID_35' value='378774' \/><input type='hidden' id='answerType378774' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378774[]' id='answer-id-1474169' class='answer   answerof-378774 ' value='1474169'   \/><label for='answer-id-1474169' id='answer-label-1474169' class=' answer'><span>It is also called a profit and loss statement.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378774[]' id='answer-id-1474170' class='answer   answerof-378774 ' value='1474170'   \/><label for='answer-id-1474170' id='answer-label-1474170' class=' answer'><span>It summarizes a company's revenues and expenses for the firm's fiscal year.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378774[]' id='answer-id-1474171' class='answer   answerof-378774 ' value='1474171'   \/><label for='answer-id-1474171' id='answer-label-1474171' class=' answer'><span>It lists a company's assets, liabilities, and net worth on the date the statement was prepared.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378774[]' id='answer-id-1474172' class='answer   answerof-378774 ' value='1474172'   \/><label for='answer-id-1474172' id='answer-label-1474172' class=' answer'><span>It reports where a corporation's cash is being generated and where its cash is being spent for a specific period.<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-36' style=';'><div id='questionWrap-36'  class='   watupro-question-id-378775'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>36. <\/span>The process in which the buying firm must pay for the securities and the selling firm must deliver the securities is known as:<\/div><input type='hidden' name='question_id[]' id='qID_36' value='378775' \/><input type='hidden' id='answerType378775' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378775[]' id='answer-id-1474173' class='answer   answerof-378775 ' value='1474173'   \/><label for='answer-id-1474173' id='answer-label-1474173' class=' answer'><span>A corporate action<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378775[]' id='answer-id-1474174' class='answer   answerof-378775 ' value='1474174'   \/><label for='answer-id-1474174' id='answer-label-1474174' class=' answer'><span>Clearing the trade<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378775[]' id='answer-id-1474175' class='answer   answerof-378775 ' value='1474175'   \/><label for='answer-id-1474175' id='answer-label-1474175' class=' answer'><span>The settlement of the transaction<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378775[]' id='answer-id-1474176' class='answer   answerof-378775 ' value='1474176'   \/><label for='answer-id-1474176' id='answer-label-1474176' class=' answer'><span>A delivery versus payment (DVP) transaction<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-37' style=';'><div id='questionWrap-37'  class='   watupro-question-id-378776'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>37. <\/span>Which of the following statements is true regarding the SEC's characterization of a registration statement that has just been made effective?<\/div><input type='hidden' name='question_id[]' id='qID_37' value='378776' \/><input type='hidden' id='answerType378776' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378776[]' id='answer-id-1474177' class='answer   answerof-378776 ' value='1474177'   \/><label for='answer-id-1474177' id='answer-label-1474177' class=' answer'><span>The SEC has approved the security being offered for sale.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378776[]' id='answer-id-1474178' class='answer   answerof-378776 ' value='1474178'   \/><label for='answer-id-1474178' id='answer-label-1474178' class=' answer'><span>The SEC has found the information presented to be true and accurate.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378776[]' id='answer-id-1474179' class='answer   answerof-378776 ' value='1474179'   \/><label for='answer-id-1474179' id='answer-label-1474179' class=' answer'><span>The SEC has determined that no material information has been omitted.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378776[]' id='answer-id-1474180' class='answer   answerof-378776 ' value='1474180'   \/><label for='answer-id-1474180' id='answer-label-1474180' class=' answer'><span>The SEC has not passed judgment on the merits of the security being offered for sale.<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-38' style=';'><div id='questionWrap-38'  class='   watupro-question-id-378777'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>38. <\/span>Which of the following is a reportable obligation with respect to an individual's Form U4?<\/div><input type='hidden' name='question_id[]' id='qID_38' value='378777' \/><input type='hidden' id='answerType378777' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378777[]' id='answer-id-1474181' class='answer   answerof-378777 ' value='1474181'   \/><label for='answer-id-1474181' id='answer-label-1474181' class=' answer'><span>A speeding ticket<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378777[]' id='answer-id-1474182' class='answer   answerof-378777 ' value='1474182'   \/><label for='answer-id-1474182' id='answer-label-1474182' class=' answer'><span>A change of residential address<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378777[]' id='answer-id-1474183' class='answer   answerof-378777 ' value='1474183'   \/><label for='answer-id-1474183' id='answer-label-1474183' class=' answer'><span>A change of business telephone number<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378777[]' id='answer-id-1474184' class='answer   answerof-378777 ' value='1474184'   \/><label for='answer-id-1474184' id='answer-label-1474184' class=' answer'><span>A gambling-related misdemeanor charge<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-39' style=';'><div id='questionWrap-39'  class='   watupro-question-id-378778'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>39. <\/span>A municipal securities dealer makes a political contribution of $990 to a local mayoral candidate. At the end of the quarter, to whom, if anyone, must the dealer report the contribution?<\/div><input type='hidden' name='question_id[]' id='qID_39' value='378778' \/><input type='hidden' id='answerType378778' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378778[]' id='answer-id-1474185' class='answer   answerof-378778 ' value='1474185'   \/><label for='answer-id-1474185' id='answer-label-1474185' class=' answer'><span>SEC<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378778[]' id='answer-id-1474186' class='answer   answerof-378778 ' value='1474186'   \/><label for='answer-id-1474186' id='answer-label-1474186' class=' answer'><span>MSRB<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378778[]' id='answer-id-1474187' class='answer   answerof-378778 ' value='1474187'   \/><label for='answer-id-1474187' id='answer-label-1474187' class=' answer'><span>FINRA<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378778[]' id='answer-id-1474188' class='answer   answerof-378778 ' value='1474188'   \/><label for='answer-id-1474188' id='answer-label-1474188' class=' answer'><span>No disclosure required as the amount is below the reporting threshold<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-40' style=';'><div id='questionWrap-40'  class='   watupro-question-id-378779'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>40. <\/span>Which of the following responses describes a warrant?<\/div><input type='hidden' name='question_id[]' id='qID_40' value='378779' \/><input type='hidden' id='answerType378779' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378779[]' id='answer-id-1474189' class='answer   answerof-378779 ' value='1474189'   \/><label for='answer-id-1474189' id='answer-label-1474189' class=' answer'><span>An interest-paying security<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378779[]' id='answer-id-1474190' class='answer   answerof-378779 ' value='1474190'   \/><label for='answer-id-1474190' id='answer-label-1474190' class=' answer'><span>Redemption rights for a debt instrument<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378779[]' id='answer-id-1474191' class='answer   answerof-378779 ' value='1474191'   \/><label for='answer-id-1474191' id='answer-label-1474191' class=' answer'><span>The right to purchase a specified amount of shares<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378779[]' id='answer-id-1474192' class='answer   answerof-378779 ' value='1474192'   \/><label for='answer-id-1474192' id='answer-label-1474192' class=' answer'><span>A fixed-income security issued by a state or municipality<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-41' style=';'><div id='questionWrap-41'  class='   watupro-question-id-378780'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>41. <\/span>SEC regulations permit a company to issue securities exempted from registration requirements of the Securities Act of 1933 under which of the following conditions?<\/div><input type='hidden' name='question_id[]' id='qID_41' value='378780' \/><input type='hidden' id='answerType378780' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378780[]' id='answer-id-1474193' class='answer   answerof-378780 ' value='1474193'   \/><label for='answer-id-1474193' id='answer-label-1474193' class=' answer'><span>Offerings sold inside of the<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378780[]' id='answer-id-1474194' class='answer   answerof-378780 ' value='1474194'   \/><label for='answer-id-1474194' id='answer-label-1474194' class=' answer'><span>to non-<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378780[]' id='answer-id-1474195' class='answer   answerof-378780 ' value='1474195'   \/><label for='answer-id-1474195' id='answer-label-1474195' class=' answer'><span>persons<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378780[]' id='answer-id-1474196' class='answer   answerof-378780 ' value='1474196'   \/><label for='answer-id-1474196' id='answer-label-1474196' class=' answer'><span>Offerings sold with no more than 40 accredited investors<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378780[]' id='answer-id-1474197' class='answer   answerof-378780 ' value='1474197'   \/><label for='answer-id-1474197' id='answer-label-1474197' class=' answer'><span>Offerings sold with an aggregate price exceeding $5 million<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378780[]' id='answer-id-1474198' class='answer   answerof-378780 ' value='1474198'   \/><label for='answer-id-1474198' id='answer-label-1474198' class=' answer'><span>Offerings with no more than 35 non-accredited investors and an unlimited number of accredited investors<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-42' style=';'><div id='questionWrap-42'  class='   watupro-question-id-378781'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>42. <\/span>A customer wants to establish an account for the benefit of his grandchildren. He states to his registered representative that he wants to be able to control the distribution of the assets and direct how the account will be invested. <br \/>\r<br>Which of the following account types is most appropriate?<\/div><input type='hidden' name='question_id[]' id='qID_42' value='378781' \/><input type='hidden' id='answerType378781' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378781[]' id='answer-id-1474199' class='answer   answerof-378781 ' value='1474199'   \/><label for='answer-id-1474199' id='answer-label-1474199' class=' answer'><span>Trust<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378781[]' id='answer-id-1474200' class='answer   answerof-378781 ' value='1474200'   \/><label for='answer-id-1474200' id='answer-label-1474200' class=' answer'><span>UTMA<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378781[]' id='answer-id-1474201' class='answer   answerof-378781 ' value='1474201'   \/><label for='answer-id-1474201' id='answer-label-1474201' class=' answer'><span>529 savings plan<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378781[]' id='answer-id-1474202' class='answer   answerof-378781 ' value='1474202'   \/><label for='answer-id-1474202' id='answer-label-1474202' class=' answer'><span>Certificate of deposit (CD)<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-43' style=';'><div id='questionWrap-43'  class='   watupro-question-id-378782'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>43. <\/span>An investor sells shares of a closed-end fund at the market. <br \/>\r<br>Which of the following responses best describes the net proceeds to be received?<\/div><input type='hidden' name='question_id[]' id='qID_43' value='378782' \/><input type='hidden' id='answerType378782' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378782[]' id='answer-id-1474203' class='answer   answerof-378782 ' value='1474203'   \/><label for='answer-id-1474203' id='answer-label-1474203' class=' answer'><span>Net asset value (NAV)<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378782[]' id='answer-id-1474204' class='answer   answerof-378782 ' value='1474204'   \/><label for='answer-id-1474204' id='answer-label-1474204' class=' answer'><span>NAV less any redemption fee<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378782[]' id='answer-id-1474205' class='answer   answerof-378782 ' value='1474205'   \/><label for='answer-id-1474205' id='answer-label-1474205' class=' answer'><span>Bid price less any commission<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378782[]' id='answer-id-1474206' class='answer   answerof-378782 ' value='1474206'   \/><label for='answer-id-1474206' id='answer-label-1474206' class=' answer'><span>Public offering price (POP) less any redemption fee<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-44' style=';'><div id='questionWrap-44'  class='   watupro-question-id-378783'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>44. <\/span>Which of the following statements best describes an American Depositary Receipt (ADR)?<\/div><input type='hidden' name='question_id[]' id='qID_44' value='378783' \/><input type='hidden' id='answerType378783' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378783[]' id='answer-id-1474207' class='answer   answerof-378783 ' value='1474207'   \/><label for='answer-id-1474207' id='answer-label-1474207' class=' answer'><span>ADRs trade like<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378783[]' id='answer-id-1474208' class='answer   answerof-378783 ' value='1474208'   \/><label for='answer-id-1474208' id='answer-label-1474208' class=' answer'><span>issues and are quoted in<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378783[]' id='answer-id-1474209' class='answer   answerof-378783 ' value='1474209'   \/><label for='answer-id-1474209' id='answer-label-1474209' class=' answer'><span>dollars.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378783[]' id='answer-id-1474210' class='answer   answerof-378783 ' value='1474210'   \/><label for='answer-id-1474210' id='answer-label-1474210' class=' answer'><span>ADRs trade like<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378783[]' id='answer-id-1474211' class='answer   answerof-378783 ' value='1474211'   \/><label for='answer-id-1474211' id='answer-label-1474211' class=' answer'><span>issues and are quoted in foreign currency.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378783[]' id='answer-id-1474212' class='answer   answerof-378783 ' value='1474212'   \/><label for='answer-id-1474212' id='answer-label-1474212' class=' answer'><span>ADRs represent shares of a<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378783[]' id='answer-id-1474213' class='answer   answerof-378783 ' value='1474213'   \/><label for='answer-id-1474213' id='answer-label-1474213' class=' answer'><span>security held in foreign commercial banks.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378783[]' id='answer-id-1474214' class='answer   answerof-378783 ' value='1474214'   \/><label for='answer-id-1474214' id='answer-label-1474214' class=' answer'><span>ADRs represent shares of a foreign security held in foreign commercial banks.<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-45' style=';'><div id='questionWrap-45'  class='   watupro-question-id-378784'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>45. <\/span>A registered representative wants to open an account for himself at a different financial institution. <br \/>\r<br>Under FINRA rules, which of the following accounts requires prior written consent from his employing broker-dealer?<\/div><input type='hidden' name='question_id[]' id='qID_45' value='378784' \/><input type='hidden' id='answerType378784' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378784[]' id='answer-id-1474215' class='answer   answerof-378784 ' value='1474215'   \/><label for='answer-id-1474215' id='answer-label-1474215' class=' answer'><span>A 529 savings plan account established for his grandchild<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378784[]' id='answer-id-1474216' class='answer   answerof-378784 ' value='1474216'   \/><label for='answer-id-1474216' id='answer-label-1474216' class=' answer'><span>Mutual fund accounts held directly with the fund company<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378784[]' id='answer-id-1474217' class='answer   answerof-378784 ' value='1474217'   \/><label for='answer-id-1474217' id='answer-label-1474217' class=' answer'><span>Variable contracts registered under the Investment Company Act<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378784[]' id='answer-id-1474218' class='answer   answerof-378784 ' value='1474218'   \/><label for='answer-id-1474218' id='answer-label-1474218' class=' answer'><span>An investment advisory account in which securities transactions are effected<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-46' style=';'><div id='questionWrap-46'  class='   watupro-question-id-378785'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>46. <\/span>A customer purchases 100 shares of stock on Thursday, August 2. This transaction must settle regular way no later than:<\/div><input type='hidden' name='question_id[]' id='qID_46' value='378785' \/><input type='hidden' id='answerType378785' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378785[]' id='answer-id-1474219' class='answer   answerof-378785 ' value='1474219'   \/><label for='answer-id-1474219' id='answer-label-1474219' class=' answer'><span>Friday, August 3<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378785[]' id='answer-id-1474220' class='answer   answerof-378785 ' value='1474220'   \/><label for='answer-id-1474220' id='answer-label-1474220' class=' answer'><span>Monday, August 6<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378785[]' id='answer-id-1474221' class='answer   answerof-378785 ' value='1474221'   \/><label for='answer-id-1474221' id='answer-label-1474221' class=' answer'><span>Tuesday, August 7<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378785[]' id='answer-id-1474222' class='answer   answerof-378785 ' value='1474222'   \/><label for='answer-id-1474222' id='answer-label-1474222' class=' answer'><span>Wednesday, August 8<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-47' style=';'><div id='questionWrap-47'  class='   watupro-question-id-378786'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>47. <\/span>Which of the following terms describes failure to honor a firm quote?<\/div><input type='hidden' name='question_id[]' id='qID_47' value='378786' \/><input type='hidden' id='answerType378786' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378786[]' id='answer-id-1474223' class='answer   answerof-378786 ' value='1474223'   \/><label for='answer-id-1474223' id='answer-label-1474223' class=' answer'><span>Freeriding<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378786[]' id='answer-id-1474224' class='answer   answerof-378786 ' value='1474224'   \/><label for='answer-id-1474224' id='answer-label-1474224' class=' answer'><span>Backing away<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378786[]' id='answer-id-1474225' class='answer   answerof-378786 ' value='1474225'   \/><label for='answer-id-1474225' id='answer-label-1474225' class=' answer'><span>Interpositioning<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378786[]' id='answer-id-1474226' class='answer   answerof-378786 ' value='1474226'   \/><label for='answer-id-1474226' id='answer-label-1474226' class=' answer'><span>Market manipulation<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-48' style=';'><div id='questionWrap-48'  class='   watupro-question-id-378787'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>48. <\/span>When exercised, an option written on which of the following items must be settled in cash?<\/div><input type='hidden' name='question_id[]' id='qID_48' value='378787' \/><input type='hidden' id='answerType378787' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378787[]' id='answer-id-1474227' class='answer   answerof-378787 ' value='1474227'   \/><label for='answer-id-1474227' id='answer-label-1474227' class=' answer'><span>Equity index<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378787[]' id='answer-id-1474228' class='answer   answerof-378787 ' value='1474228'   \/><label for='answer-id-1474228' id='answer-label-1474228' class=' answer'><span>Preferred stock<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378787[]' id='answer-id-1474229' class='answer   answerof-378787 ' value='1474229'   \/><label for='answer-id-1474229' id='answer-label-1474229' class=' answer'><span>Master limited partnership<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378787[]' id='answer-id-1474230' class='answer   answerof-378787 ' value='1474230'   \/><label for='answer-id-1474230' id='answer-label-1474230' class=' answer'><span>Exchange-traded funds (ETFs)<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-49' style=';'><div id='questionWrap-49'  class='   watupro-question-id-378788'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>49. <\/span>Which of the following statements is a characteristic of a government bond fund?<\/div><input type='hidden' name='question_id[]' id='qID_49' value='378788' \/><input type='hidden' id='answerType378788' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378788[]' id='answer-id-1474231' class='answer   answerof-378788 ' value='1474231'   \/><label for='answer-id-1474231' id='answer-label-1474231' class=' answer'><span>Government bond funds are diversified.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378788[]' id='answer-id-1474232' class='answer   answerof-378788 ' value='1474232'   \/><label for='answer-id-1474232' id='answer-label-1474232' class=' answer'><span>Dividend\/interest payments will be the same each month.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378788[]' id='answer-id-1474233' class='answer   answerof-378788 ' value='1474233'   \/><label for='answer-id-1474233' id='answer-label-1474233' class=' answer'><span>If interest rates fall, the net asset value (NAV) of the fund will likely drop as well.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378788[]' id='answer-id-1474234' class='answer   answerof-378788 ' value='1474234'   \/><label for='answer-id-1474234' id='answer-label-1474234' class=' answer'><span>The value of the fund is not guaranteed by the government or any federal agency.<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-50' style=';'><div id='questionWrap-50'  class='   watupro-question-id-378789'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>50. <\/span>A customer buys 100 ABC at $50 and at the same time sells an ABC April 50 call at $8. At expiration, ABC must be at what market price for the customer to break even?<\/div><input type='hidden' name='question_id[]' id='qID_50' value='378789' \/><input type='hidden' id='answerType378789' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378789[]' id='answer-id-1474235' class='answer   answerof-378789 ' value='1474235'   \/><label for='answer-id-1474235' id='answer-label-1474235' class=' answer'><span>$42<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378789[]' id='answer-id-1474236' class='answer   answerof-378789 ' value='1474236'   \/><label for='answer-id-1474236' id='answer-label-1474236' class=' answer'><span>$44<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378789[]' id='answer-id-1474237' class='answer   answerof-378789 ' value='1474237'   \/><label for='answer-id-1474237' id='answer-label-1474237' class=' answer'><span>$50<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378789[]' id='answer-id-1474238' class='answer   answerof-378789 ' value='1474238'   \/><label for='answer-id-1474238' id='answer-label-1474238' class=' answer'><span>$58<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-51' style=';'><div id='questionWrap-51'  class='   watupro-question-id-378790'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>51. <\/span>Which of the following security types is frequently offered to the public as part of a package or unit that also includes a fixed income obligation?<\/div><input type='hidden' name='question_id[]' id='qID_51' value='378790' \/><input type='hidden' id='answerType378790' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378790[]' id='answer-id-1474239' class='answer   answerof-378790 ' value='1474239'   \/><label for='answer-id-1474239' id='answer-label-1474239' class=' answer'><span>Options<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378790[]' id='answer-id-1474240' class='answer   answerof-378790 ' value='1474240'   \/><label for='answer-id-1474240' id='answer-label-1474240' class=' answer'><span>Warrants<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378790[]' id='answer-id-1474241' class='answer   answerof-378790 ' value='1474241'   \/><label for='answer-id-1474241' id='answer-label-1474241' class=' answer'><span>Common stock<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378790[]' id='answer-id-1474242' class='answer   answerof-378790 ' value='1474242'   \/><label for='answer-id-1474242' id='answer-label-1474242' class=' answer'><span>Preferred stock<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-52' style=';'><div id='questionWrap-52'  class='   watupro-question-id-378791'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>52. <\/span>A customer is unhappy about a $5,000 loss in a stock that the registered representative (RR) recommended and threatens to call FINRA's Securities Helpline for Seniors about the matter. <br \/>\r<br>What is the most appropriate next step for the RR to take?<\/div><input type='hidden' name='question_id[]' id='qID_52' value='378791' \/><input type='hidden' id='answerType378791' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378791[]' id='answer-id-1474243' class='answer   answerof-378791 ' value='1474243'   \/><label for='answer-id-1474243' id='answer-label-1474243' class=' answer'><span>The RR should notify their supervisor about the customer's dissatisfaction.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378791[]' id='answer-id-1474244' class='answer   answerof-378791 ' value='1474244'   \/><label for='answer-id-1474244' id='answer-label-1474244' class=' answer'><span>The RR is permitted to reimburse the customer for the loss to resolve the customer's complaint.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378791[]' id='answer-id-1474245' class='answer   answerof-378791 ' value='1474245'   \/><label for='answer-id-1474245' id='answer-label-1474245' class=' answer'><span>The RR should alert their compliance department to update their Form U4 with the complaint details.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378791[]' id='answer-id-1474246' class='answer   answerof-378791 ' value='1474246'   \/><label for='answer-id-1474246' id='answer-label-1474246' class=' answer'><span>The RR should call FINRA's Securities Helpline for Seniors before the customer does and explain their side of the story.<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-53' style=';'><div id='questionWrap-53'  class='   watupro-question-id-378792'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>53. <\/span>An investor wants to purchase mutual fund shares, but she is concerned about the tax efficiency of the fund. <br \/>\r<br>Which of the following disclosures required under industry regulations will help the investor make an informed decision?<\/div><input type='hidden' name='question_id[]' id='qID_53' value='378792' \/><input type='hidden' id='answerType378792' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378792[]' id='answer-id-1474247' class='answer   answerof-378792 ' value='1474247'   \/><label for='answer-id-1474247' id='answer-label-1474247' class=' answer'><span>The fund's turnover ratio<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378792[]' id='answer-id-1474248' class='answer   answerof-378792 ' value='1474248'   \/><label for='answer-id-1474248' id='answer-label-1474248' class=' answer'><span>Sales charges and breakpoint discount opportunities<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378792[]' id='answer-id-1474249' class='answer   answerof-378792 ' value='1474249'   \/><label for='answer-id-1474249' id='answer-label-1474249' class=' answer'><span>The commissions that the fund pays on each transaction<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378792[]' id='answer-id-1474250' class='answer   answerof-378792 ' value='1474250'   \/><label for='answer-id-1474250' id='answer-label-1474250' class=' answer'><span>Projections of future dividend and capital gains distributions<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-54' style=';'><div id='questionWrap-54'  class='   watupro-question-id-378793'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>54. <\/span>A summary prospectus for a mutual fund must contain which of the following information?<\/div><input type='hidden' name='question_id[]' id='qID_54' value='378793' \/><input type='hidden' id='answerType378793' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378793[]' id='answer-id-1474251' class='answer   answerof-378793 ' value='1474251'   \/><label for='answer-id-1474251' id='answer-label-1474251' class=' answer'><span>Projected return<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378793[]' id='answer-id-1474252' class='answer   answerof-378793 ' value='1474252'   \/><label for='answer-id-1474252' id='answer-label-1474252' class=' answer'><span>Investment objectives<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378793[]' id='answer-id-1474253' class='answer   answerof-378793 ' value='1474253'   \/><label for='answer-id-1474253' id='answer-label-1474253' class=' answer'><span>Fund's portfolio holdings<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378793[]' id='answer-id-1474254' class='answer   answerof-378793 ' value='1474254'   \/><label for='answer-id-1474254' id='answer-label-1474254' class=' answer'><span>Control persons and principal owners of the fund<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-55' style=';'><div id='questionWrap-55'  class='   watupro-question-id-378794'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>55. <\/span>A customer owns 100 shares of ABC with a current market value of $5.00 per share. The company undergoes a 1-for-2 reverse split of the stock. <br \/>\r<br>Which of the following statements is true of the <br \/>\r<br>customer's holdings and the price of the stock?<\/div><input type='hidden' name='question_id[]' id='qID_55' value='378794' \/><input type='hidden' id='answerType378794' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378794[]' id='answer-id-1474255' class='answer   answerof-378794 ' value='1474255'   \/><label for='answer-id-1474255' id='answer-label-1474255' class=' answer'><span>The customer will have 50 shares at $10.00 per share.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378794[]' id='answer-id-1474256' class='answer   answerof-378794 ' value='1474256'   \/><label for='answer-id-1474256' id='answer-label-1474256' class=' answer'><span>The customer will have 100 shares at $5.00 per share.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378794[]' id='answer-id-1474257' class='answer   answerof-378794 ' value='1474257'   \/><label for='answer-id-1474257' id='answer-label-1474257' class=' answer'><span>The customer will have 200 shares at $2.50 per share.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378794[]' id='answer-id-1474258' class='answer   answerof-378794 ' value='1474258'   \/><label for='answer-id-1474258' id='answer-label-1474258' class=' answer'><span>The customer will have 1,000 shares at $0.50 per share.<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-56' style=';'><div id='questionWrap-56'  class='   watupro-question-id-378795'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>56. <\/span>When is a newly registered person subject to the Continuing Education Regulatory Element requirement?<\/div><input type='hidden' name='question_id[]' id='qID_56' value='378795' \/><input type='hidden' id='answerType378795' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378795[]' id='answer-id-1474259' class='answer   answerof-378795 ' value='1474259'   \/><label for='answer-id-1474259' id='answer-label-1474259' class=' answer'><span>The calendar year following initial registration<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378795[]' id='answer-id-1474260' class='answer   answerof-378795 ' value='1474260'   \/><label for='answer-id-1474260' id='answer-label-1474260' class=' answer'><span>On the anniversary date of initial registration<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378795[]' id='answer-id-1474261' class='answer   answerof-378795 ' value='1474261'   \/><label for='answer-id-1474261' id='answer-label-1474261' class=' answer'><span>Every three years after the date of registration<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378795[]' id='answer-id-1474262' class='answer   answerof-378795 ' value='1474262'   \/><label for='answer-id-1474262' id='answer-label-1474262' class=' answer'><span>Every five years<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-57' style=';'><div id='questionWrap-57'  class='   watupro-question-id-378796'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>57. <\/span>Which of the following entities settles broker-to-broker equity, listed corporate and municipal bond, and unit investment trust (UIT) transactions in the U.S. equities markets?<\/div><input type='hidden' name='question_id[]' id='qID_57' value='378796' \/><input type='hidden' id='answerType378796' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378796[]' id='answer-id-1474263' class='answer   answerof-378796 ' value='1474263'   \/><label for='answer-id-1474263' id='answer-label-1474263' class=' answer'><span>SEC<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378796[]' id='answer-id-1474264' class='answer   answerof-378796 ' value='1474264'   \/><label for='answer-id-1474264' id='answer-label-1474264' class=' answer'><span>FINRA<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378796[]' id='answer-id-1474265' class='answer   answerof-378796 ' value='1474265'   \/><label for='answer-id-1474265' id='answer-label-1474265' class=' answer'><span>Federal Reserve<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378796[]' id='answer-id-1474266' class='answer   answerof-378796 ' value='1474266'   \/><label for='answer-id-1474266' id='answer-label-1474266' class=' answer'><span>National Securities Clearing Corporation (NSCC)<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-58' style=';'><div id='questionWrap-58'  class='   watupro-question-id-378797'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>58. <\/span>Publicly traded limited partnership interests are typically considered:<\/div><input type='hidden' name='question_id[]' id='qID_58' value='378797' \/><input type='hidden' id='answerType378797' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378797[]' id='answer-id-1474267' class='answer   answerof-378797 ' value='1474267'   \/><label for='answer-id-1474267' id='answer-label-1474267' class=' answer'><span>Mutual funds<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378797[]' id='answer-id-1474268' class='answer   answerof-378797 ' value='1474268'   \/><label for='answer-id-1474268' id='answer-label-1474268' class=' answer'><span>Equity securities<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378797[]' id='answer-id-1474269' class='answer   answerof-378797 ' value='1474269'   \/><label for='answer-id-1474269' id='answer-label-1474269' class=' answer'><span>Fixed-income securities<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378797[]' id='answer-id-1474270' class='answer   answerof-378797 ' value='1474270'   \/><label for='answer-id-1474270' id='answer-label-1474270' class=' answer'><span>Derivative investments<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-59' style=';'><div id='questionWrap-59'  class='   watupro-question-id-378798'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>59. <\/span>A confirmation indicates a 100-share purchase of Company ABC at $11. <br \/>\r<br>According to SEC rules, which of the following information is required to be stated on the confirmation?<\/div><input type='hidden' name='question_id[]' id='qID_59' value='378798' \/><input type='hidden' id='answerType378798' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378798[]' id='answer-id-1474271' class='answer   answerof-378798 ' value='1474271'   \/><label for='answer-id-1474271' id='answer-label-1474271' class=' answer'><span>The firm's cost basis in the security<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378798[]' id='answer-id-1474272' class='answer   answerof-378798 ' value='1474272'   \/><label for='answer-id-1474272' id='answer-label-1474272' class=' answer'><span>The firm's inventory level at the time of trade execution<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378798[]' id='answer-id-1474273' class='answer   answerof-378798 ' value='1474273'   \/><label for='answer-id-1474273' id='answer-label-1474273' class=' answer'><span>That the firm did not act as a market maker in the security<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378798[]' id='answer-id-1474274' class='answer   answerof-378798 ' value='1474274'   \/><label for='answer-id-1474274' id='answer-label-1474274' class=' answer'><span>The capacity in which the firm acted when executing the trade<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div class='watu-question ' id='question-60' style=';'><div id='questionWrap-60'  class='   watupro-question-id-378799'>\n\t\t\t<div class='question-content'><div><span class='watupro_num'>60. <\/span>A customer will be out of the country for the next two months on business and asks his firm to hold his mail until he returns. <br \/>\r<br>Which of the following statements is true regarding this request?<\/div><input type='hidden' name='question_id[]' id='qID_60' value='378799' \/><input type='hidden' id='answerType378799' value='radio'><!-- end question-content--><\/div><div class='question-choices watupro-choices-columns '><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378799[]' id='answer-id-1474275' class='answer   answerof-378799 ' value='1474275'   \/><label for='answer-id-1474275' id='answer-label-1474275' class=' answer'><span>The firm is prohibited from holding the customer's mail under FINRA rules due to the personal information contained.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378799[]' id='answer-id-1474276' class='answer   answerof-378799 ' value='1474276'   \/><label for='answer-id-1474276' id='answer-label-1474276' class=' answer'><span>The firm must receive written instructions from the customer that include the time period for the requested mail hold.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378799[]' id='answer-id-1474277' class='answer   answerof-378799 ' value='1474277'   \/><label for='answer-id-1474277' id='answer-label-1474277' class=' answer'><span>The firm is permitted to hold the mail as long as the registered representative (RR) complies with the customer's oral instructions.<\/span><\/label><\/div><div class='watupro-question-choice  ' dir='auto' ><input type='radio' name='answer-378799[]' id='answer-id-1474278' class='answer   answerof-378799 ' value='1474278'   \/><label for='answer-id-1474278' id='answer-label-1474278' class=' answer'><span>At the discretion of the RR, the firm is permitted to hold the customer's mail provided it takes reasonable actions to ensure no tampering occurs with this mail.<\/span><\/label><\/div><!-- end question-choices--><\/div><!-- end questionWrap--><\/div><\/div><div style='display:none' id='question-61'>\n\t<div class='question-content'>\n\t\t<img loading=\"lazy\" decoding=\"async\" src=\"https:\/\/www.dumpsbase.com\/freedumps\/wp-content\/plugins\/watupro\/img\/loading.gif\" width=\"16\" height=\"16\" alt=\"Loading...\" title=\"Loading...\" \/>&nbsp;Loading...\t<\/div>\n<\/div>\n\n<br \/>\n\t\n\t\t\t<div class=\"watupro_buttons flex \" id=\"watuPROButtons9465\" >\n\t\t  <div id=\"prev-question\" style=\"display:none;\"><input type=\"button\" value=\"&lt; Previous\" onclick=\"WatuPRO.nextQuestion(event, 'previous');\"\/><\/div>\t\t  \t\t  \t\t   \n\t\t   \t  \t\t<div><input type=\"button\" name=\"action\" class=\"watupro-submit-button\" onclick=\"WatuPRO.submitResult(event)\" id=\"action-button\" value=\"View Results\"  \/>\n\t\t<\/div>\n\t\t<\/div>\n\t\t\n\t<input type=\"hidden\" name=\"quiz_id\" value=\"9465\" id=\"watuPROExamID\"\/>\n\t<input type=\"hidden\" name=\"start_time\" id=\"startTime\" value=\"2026-05-15 11:01:42\" \/>\n\t<input type=\"hidden\" name=\"start_timestamp\" id=\"startTimeStamp\" value=\"1778842902\" \/>\n\t<input type=\"hidden\" name=\"question_ids\" value=\"\" \/>\n\t<input type=\"hidden\" name=\"watupro_questions\" value=\"378740:1474033,1474034,1474035,1474036 | 378741:1474037,1474038,1474039,1474040 | 378742:1474041,1474042,1474043,1474044 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378767:1474141,1474142,1474143,1474144 | 378768:1474145,1474146,1474147,1474148 | 378769:1474149,1474150,1474151,1474152 | 378770:1474153,1474154,1474155,1474156 | 378771:1474157,1474158,1474159,1474160 | 378772:1474161,1474162,1474163,1474164 | 378773:1474165,1474166,1474167,1474168 | 378774:1474169,1474170,1474171,1474172 | 378775:1474173,1474174,1474175,1474176 | 378776:1474177,1474178,1474179,1474180 | 378777:1474181,1474182,1474183,1474184 | 378778:1474185,1474186,1474187,1474188 | 378779:1474189,1474190,1474191,1474192 | 378780:1474193,1474194,1474195,1474196,1474197,1474198 | 378781:1474199,1474200,1474201,1474202 | 378782:1474203,1474204,1474205,1474206 | 378783:1474207,1474208,1474209,1474210,1474211,1474212,1474213,1474214 | 378784:1474215,1474216,1474217,1474218 | 378785:1474219,1474220,1474221,1474222 | 378786:1474223,1474224,1474225,1474226 | 378787:1474227,1474228,1474229,1474230 | 378788:1474231,1474232,1474233,1474234 | 378789:1474235,1474236,1474237,1474238 | 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\n<\/script>\n<p>&nbsp;<\/p>\n","protected":false},"excerpt":{"rendered":"<p>The Securities Industry Essentials (SIE) is a FINRA exam for aspiring securities professionals. This entry-level test evaluates your grasp of basic industry knowledge, including core concepts like investment products and their risks, market structure, regulatory agency roles, and prohibited practices. 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