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A case of leverage is:
Explanation:
borrowing at 6% and investing the funds at 10%. Leverage is all about using money obtained at a lower cost than what can be earned deploying the funds elsewhere. It is unrelated to arbitrage.
NEW QUESTION 30
Bubba is a registered representative who wishes to buy shares of a new issue his firm is distributing.
Under FINRA Conduct Rules, Bubba may:
Explanation:
Explanation/Reference:
Explanation: not do so under any circumstance. New issues may not be distributed to Bubba or members of his immediate family.
NEW QUESTION 31
Which of the following sources provides news of prospective municipal securities sales to underwriters?
Explanation:
the daily Bond Buyer. News is covered in the daily Bond Buyer as well as Munifacts, which is operated by the daily Bond Buyer. The Blue List shows only current offerings, not prospective ones.
NEW QUESTION 32
An investment company acting as a conduit in the distribution of net investment income, pursuant to IRS rules, is called:
Explanation:
Explanation/Reference:
Explanation: regulated. The term "regulated" refers to tax status under Subchapter M of the Internal Revenue Code. This simply means that if a mutual fund or other investment company qualifies for regulated status, the threat of taxation at multiple levels is eliminated.
NEW QUESTION 33
Under the Investment Company Act of 1940, what is the minimum net worth of a registered investment company?
Explanation:
Explanation/Reference:
Explanation: $100,000. This was a considerable amount of money in 1940.
NEW QUESTION 34
......
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Series-7 Quiz Torrent - Series-7 Exam Guide & Series-7 Test Braindumps
NEW QUESTION 29A case of leverage is:
- A. buying stock on the NYSE and later selling it the same day on the CBOE
- B. borrowing at 6% and investing the funds at 10%
- C. selling common stock short and buying warrants for the equivalent number of shares followed by subscribing to the shares and covering the short
- D. redeeming a convertible bond before maturity
Explanation:
borrowing at 6% and investing the funds at 10%. Leverage is all about using money obtained at a lower cost than what can be earned deploying the funds elsewhere. It is unrelated to arbitrage.
NEW QUESTION 30
Bubba is a registered representative who wishes to buy shares of a new issue his firm is distributing.
Under FINRA Conduct Rules, Bubba may:
- A. do so if his allotment is insubstantial and not disproportionate to public orders
- B. do so if he has a history of buying hot issues
- C. not do so for his own account, buy may purchase shares for his sister's account
- D. not do so under any circumstance
Explanation:
Explanation/Reference:
Explanation: not do so under any circumstance. New issues may not be distributed to Bubba or members of his immediate family.
NEW QUESTION 31
Which of the following sources provides news of prospective municipal securities sales to underwriters?
- A. the Blue List
- B. the daily Bond Buyer
- C. the SEC News Digest
- D. The Wall Street Journal
Explanation:
the daily Bond Buyer. News is covered in the daily Bond Buyer as well as Munifacts, which is operated by the daily Bond Buyer. The Blue List shows only current offerings, not prospective ones.
NEW QUESTION 32
An investment company acting as a conduit in the distribution of net investment income, pursuant to IRS rules, is called:
- A. regulated
- B. diversified
- C. dual-purpose
- D. balanced
Explanation:
Explanation/Reference:
Explanation: regulated. The term "regulated" refers to tax status under Subchapter M of the Internal Revenue Code. This simply means that if a mutual fund or other investment company qualifies for regulated status, the threat of taxation at multiple levels is eliminated.
NEW QUESTION 33
Under the Investment Company Act of 1940, what is the minimum net worth of a registered investment company?
- A. $5,000
- B. $50,000
- C. $100,000
- D. $25,000
Explanation:
Explanation/Reference:
Explanation: $100,000. This was a considerable amount of money in 1940.
NEW QUESTION 34
......