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FINRA 75Q EXAM QUESTIONS AND ANSWERS | 100% PASS
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FINRA 75Q EXAM QUESTIONS AND ANSWERS | 100% PASS Which of the following consideration should have registered a wrap explain to a customer when recommending a 529 College Savings Plan? - Answer️️ -The potential deductibility of contributions from state taxes Customer has a cash balance in h...

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  • September 25, 2024
  • 11
  • 2024/2025
  • Exam (elaborations)
  • Questions & answers

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  • finra 75q exam questions and answers 100 pass

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TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024

FINRA 75Q EXAM QUESTIONS AND
ANSWERS | 100% PASS

Which of the following consideration should have registered a wrap explain to a

customer when recommending a 529 College Savings Plan? - Answer✔️✔️-The potential

deductibility of contributions from state taxes

Customer has a cash balance in her account together with long positions in several

security she has made no Securities transaction in the account during the past 18

months how often must The Firm send her account statement? - Answer✔️✔️-

QUARTERLY

Under industry regulations and initial purchase of $3,000 of common stock in a margin

account requires a cash deposit of? - Answer✔️✔️-2000.

Under finra rules of the fire cavities by registered rap requires written notification to her

firm? - Answer✔️✔️-Driving part time for a transportation Network company on weekends

Under a system of statutory voting, a common stockholder has many votes for each

vacancy the board of directors as the number of - Answer✔️✔️-shares owned by the

stockholder

The call provision of a bond stipulates which of the following factors? - Answer✔️✔️-Call

date and call Price




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, TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024
At issue which of the following debt Securities matures in one year or less? -

Answer✔️✔️-Money market instruments

in the over-the-counter Market the term spread refers to the difference between the: -

Answer✔️✔️-bid and ask prices

Offered shareholders of privilege to obtain its shares at a fixed price which of the

following products to the corporation issue? - Answer✔️✔️-RIGHTS

A broker-dealer is permitted to accept payment for a new issue from a new customer

when the? - Answer✔️✔️-Registration is effective

When selling a fixed amount of Base currency to purchase a counter currency, which of

the following factors is primarily used to determine how much of the counter currency

the customer will receive? - Answer✔️✔️-The spot exchange rate

In a period of low inflation and economic recession the Federal Reserve is expected to

take which of the following actions? - Answer✔️✔️-Buy Bonds in the open market

Which of the following is true regarding a customer's account held as tenants-in-

common? - Answer✔️✔️-The ownership of The Descendants assets is governed by their

will or state law

All the following risks apply to both foreign and domestic debt instruments except? -

Answer✔️✔️-Exchange

Which of the following investment risks is the greatest risk in a variable life insurance

policy? - Answer✔️✔️-market risk


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