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NEW QUESTION 44
According to FINRA Conduct Rules, a party judged guilty of a rule infraction by the District Business Conduct Committee may then appeal to:
- A. the SEC
- B. the FINRA Board of Arbitration
- C. the FINRA Board of Governors
- D. the public court system
Answer: C
Explanation:
Explanation/Reference:
Explanation: the FINRA Board of Governors. The first appeal is to the Board of Governors, then to the SEC, and then to the federal courts.
NEW QUESTION 45
Which of the following types of investment companies pays out 90% of its net investment income to shareholders?
- A. registered
- B. regulated
- C. diversified
- D. balanced
Answer: B
Explanation:
Explanation/Reference:
Explanation: regulated. Investment companies regulated by the Internal Revenue Code Subchapter M are required to pay out a minimum of 90% of their net income annually to their shareholders.
NEW QUESTION 46
In a corporation’s financial statements, earned surplus is also recognized as:
- A. operating income after payment of interest expense
- B. earnings retained after payment of dividends to shareholders
- C. gross profit
- D. net income
Answer: B
Explanation:
earnings retained after payment of dividends to shareholders. The other choices are clearly incorrect. Earned surplus is also referred to as retained earnings.
NEW QUESTION 47
Distribution from an IRA can begin at age 59½ and must begin by age:
- A. whenever the individual is retired
- B. 70½
- C. 0
- D. 1
Answer: B
Explanation:
Explanation/Reference:
Explanation: 70½. This the age at which IRA withdrawals are required.
NEW QUESTION 48
FINRA advertising standards permit a dealer to state that a CMO has an implied AAA rating if the securities are issued:
- A. in amounts less than $1,000,000
- B. with an average life no longer than ten years
- C. by a US government agency
- D. by a private issuer who has not yet received an expected AAA rating
Answer: C
Explanation:
by a US government agency. Since government agencies do not apply for ratings, it is permissible to state that its issues have an “implied AAA rating”. Private issuers must receive a rating in order to state it in advertising.
NEW QUESTION 49
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