Regs and Random Trivia

Name the island commonly known as the "land of fire and ice"

• Faroe Islands

• Iceland

• Greenland

• Isle of Man

Which of the following is defined as options "sales literature"?

• Member firm options website

• Standard option worksheet

• Options memorandums for internal use

• Letters of an "individual" nature sent to customers

Which branch of the U.S. armed forces used the slogan "It's not just a job, it's an adventure"?

• Navy

• Army

• Air Force

• Marines

Electronic delivery of a prospectus is NOT permitted for:

• common stock issues

• preferred stock issues

• corporate debt issues

• investment company issues

Which U.S. state has the most counties?

• Texas

• California

• Georgia

• New York

Under FTC and FINRA rules, individuals who ask to be placed on “Do Not Call” lists go on the list for:

• 3 years, and then must renew to remain on the list

• 4 years, and then must renew to remain on the list

• 5 years, and then must renew to remain on the list

• 10 years, and then must renew to remain on the list

What year was the current 50 star adopted?

• 1965

• 1938

• 1960

• 1945

Which of the following is NOT required to sell "144" stock?

•  Buyer's representation letter

• Issuer's representation letter

• Broker's representation letter

• Seller's representation letter

Which city hosted the first Superbowl?

• Saint Louis

• Los Angeles

• New York

• New Orleans

Under the Regulation D private placement rule, advertising of offerings is:

• prohibited

• permitted only if the offering is made to a maximum of 35 non-accredited investors

• permitted only if the offering is made to a maximum of 35 accredited investors

• permitted only if the offering is made to accredited investors, without any numerical limit