Blue chip stock - Study guides, Class notes & Summaries

Which TWO of the following investors are considered equity owners of a corporation? Holders of common stock Holders of warrants Holders of preferred stock Holders of rights -:- Holders of common stock Holders of Preferred stock You are a registered representative at a member firm. Which of the following persons are bound by industry rules when opening an account at another member firm? -:- Your Spouse and Minor child A client purchases $800,000 of stock in a margin account and dep...

Each member broker-dealer is required to have a principal executive monitoring the firm's adherence to SRO as well as State and Federal laws and regulations, known as the firm's A CEO B CCO C COO D Business Continuity contact person correct answer: B CCO CCO = Chief Compliance Officer In the industry, the term 'Blue Chip' most often is associated with: A stocks that outperform the CPI B stocks that outperform GDP C stocks that consistently produce income and modest grow...

Peregrine Exam Review Day 1 Questions with 100% Correct Answers Balance Sheet Analysis - answerAnalysis of assets, liabilities, and equity Annually or quarterly Helpful for investors, bankers and brokers Compliance in Accounting - answerSarbanes act was created in 2002 to protect shareholders What are dividends? - answera sum of money paid regularly by a company to its shareholders out of its profits _ can be allocated as fixed amount per share - answerDividends Dividends - answercan o...

NAF exam review questions & answers 2023/2024 Bond Market - ANSWER-A financial market where participants buy and sell debt securities, usually in the form of bonds. Bond (Municipal) - ANSWER-A bond issued by a state, U.S. territory, city, local government, or other agencies. Bond (Corporate) - ANSWER-A bond issued by a corporation. The term is usually applied to longer-term debt instruments, generally with a maturity date falling at least a year after the issue date. Blue Chip Stoc...

Peregrine Exam Review Questions with Correct Answers (Definite Pass) Income stock - Answer-pays higher-than-average dividends compared to other stock issues Value stock - Answer-stock from a company which has a low market price considering historical earning records and value of current assets Blue Chip Stock - Answer-the stock of a large, well-established and financially sound company that has operated for many years Owners of bonds are - Answer-Debt holders, creditors and issuer ...

A person applying for an initial registration as an agent might be asked to provide all of the following except A) citizenship information. B) employment history. C) a consent to service of process. D) fingerprints. D. Fingerprints Unlike FINRA, the USA does not require fingerprints for new registrants. Form U4 lists employment history and many other personal details. LO 2.g When a broker-dealer operates on the premises of a financial institution, certain disclosures must be ...

A registered person who fails to complete the Regulatory Element of the industry's Continuing Education Program will [A] have his registration suspended until the program is completed.* [B] be able to perform only a limited number of registered duties. [C] be required to re-take the license exam within 60 days. [D] be put under review by FINRA to determine if license suspension is warranted. correct answer: EXPLANATION If a registered person does not complete the Regulatory Element of t...

Which TWO of the following investors are considered equity owners of a corporation? Holders of common stock Holders of warrants Holders of preferred stock Holders of rights Correct Answer Holders of common stock Holders of Preferred stock You are a registered representative at a member firm. Which of the following persons are bound by industry rules when opening an account at another member firm? Correct Answer Your Spouse and Minor child A client purchases $800,000 of stock in a marg...

Which corporate voting procedures entitles a shareholder to one vote per share, and votes must be divided evenly among the candidates being voted on? - Statutory voting What market refers to the trading of exchange-listed securities in the over-the-counter market? These trades allow institutional investors to trade blocks of securities directly, rather than through an exchange, providing liquidity and anonymity to buyers. - Third market An investor sells a naked call on Omikron for a $250 ...

12b-1 Fee a fee that enables the cost of marketing, to all existing fund shareholders. The maximum 12b-1 fee under FINRA rules is .75% of net assets cannot call a fund a no-load if the 12b-1 exceeds .25% of net assets Ask Price - POP Price at which a market maker will sell 100 shares to public at the next computed net asset value plus a sales charge AMT Alternative minimum tax - tax code that attempts to make high income taxpayers that use a large amount of tax deductions to reduce thei...