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NEW QUESTION 38
Call loans made by banks to broker/dealers are generally for the purpose of which of the following?
- A. financing securities held in inventory
- B. meeting operating expenses
- C. carrying margin accounts
- D. expansion of office facilities
Answer: C
Explanation:
carrying margin accounts. A call loan is made to brokers who use securities as collateral. They are usually made to finance the debit balances in margin accounts.
NEW QUESTION 39
Which of the following is a right for shareholders of common stock?
- A. both B and C
- B. the right to vote about important matters of the company
- C. the right to dividends
- D. the right to have the stock price increase
Answer: B
Explanation:
the right to vote about important matters of the company. Shareholders have no expectation of stock price increase or dividends. They are entitled to receive dividends only if the board of directors declares them.
NEW QUESTION 40
Which of the following does not describe an underwriting procedure?
- A. all or none
- B. standby
- C. fill or kill
- D. best efforts
Answer: C
Explanation:
fill or kill. Fill or kill is an order qualifier. It requests immediate execution of the whole order or immediate cancellation. A best efforts underwriting, frequently linked to all or none, is usually seen on small new issues. A standby underwriting is utilized to guarantee the success of a rights offering.
NEW QUESTION 41
A bank or trust company that is acting as custodian for a mutual fund does which of the following?
- A. guarantees investor losses on investments
- B. physically protects the fund's assets
- C. redeem and issues fund shares
- D. provides investment advice to the fund's managers
Answer: B
Explanation:
physically protects the fund's assets. The custodian holds the assets of the fund. The transfer agent redeems and issues fund shares.
NEW QUESTION 42
Which of the following may occasionally be purchased at a discount from net assets value?
- A. open-end funds
- B. contractual plans
- C. no-load funds
- D. closed-end funds
Answer: D
Explanation:
closed-end funds. Mutual funds are purchased at NAV (when no-load) or NAV plus a sales charge. The pricing of closed-end funds is determined by market activity and has no direct link to NAV.
NEW QUESTION 43
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