Which of the following statements regarding mutual funds is true?
A. the terms "management company" and "investment advisor" are interchangeable
B. the management company receives a portion of the sales load for managing the fund assets
C. the custodian can also be the transfer agent
D. the sponsor receives a management fee based on the fund's totalassets
正解:C
解説: (Pass4Test メンバーにのみ表示されます)
質問 2:
Which of the following are not flat rate taxes?
A. gift tax
B. excise tax
C. general income tax
D. gasoline tax
正解:A
解説: (Pass4Test メンバーにのみ表示されます)
質問 3:
Bubba wants to buy 500 shares of an NYSE listed stock at 38.87 but he wants to buy at one time, right
away, or else forget it. What kind of order should the registered representative enter?
A. all or none
B. immediate or cancel
C. now or never
D. fill or kill
正解:D
解説: (Pass4Test メンバーにのみ表示されます)
質問 4:
Which of the following will not result in termination of a limited partnership?
A. majority vote of the limited partners to end the partnership
B. transfer of ownership of a limited partnership interest
C. arrival of the termination date established in the partnership agreement
D. sale or transfer of partnership assets
正解:B
解説: (Pass4Test メンバーにのみ表示されます)
質問 5:
The return by the receiving party of securities previously accepted for delivery or a demand by the
delivering party for return of securities that have been delivered is called:
A. rejection
B. reclamation
C. re-delivery
D. close-out
正解:B
解説: (Pass4Test メンバーにのみ表示されます)
Tamura -
私は完全に初心者でした。ひたすら模擬試験をやりつつ、弱点を埋めていくという流れでやり、約1週間ほどの勉強で合格できました。素晴らしい資料でした。ご対応ありがとうございました。