Security Test Chapter 2

Security Test Chapter 2

Professional Development

24 Qs

quiz-placeholder

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Security Test Chapter 2

Security Test Chapter 2

Assessment

Quiz

Other

Professional Development

Practice Problem

Medium

Created by

Kirk Anderson

Used 2+ times

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24 questions

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1.

FILL IN THE BLANK QUESTION

1 min • 1 pt

The ___________is the SRO for the OTC market.

2.

MULTIPLE CHOICE QUESTION

30 sec • 1 pt

True or False: Rule violations are handled by the Code of Arbitration.

True

False. Rule violations are covered by the Code of Procedure.

3.

MULTIPLE CHOICE QUESTION

30 sec • 1 pt

True or False: SIPC provides coverage for both commodities and futures accounts.

TRUE

FALSE

4.

MULTIPLE CHOICE QUESTION

30 sec • 1 pt

True or False: Decisions arising from arbitration may be appealed to the federal court system.

True

False. Decisions are binding on both parties and may NOT be appealed.

5.

FILL IN THE BLANK QUESTION

1 min • 1 pt

SIPC provides coverage of $___________ of which no more than $ ______________ can be cash.

6.

FILL IN THE BLANK QUESTION

1 min • 1 pt

The _____________________covers disciplinary actions by FINRA against member firms and their employees.

7.

MULTIPLE CHOICE QUESTION

30 sec • 1 pt

True or False: A penny stock has a bid price of less than $1.00 per share?

True

False. A penny stock is an unlisted security whose bid price is less than $5.00 per share.

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