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Question 1 of 10
1. Question
Which act’s main purpose does not include keeping the investing public fully informed when a security is being introduced in the primary market?
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Question 2 of 10
2. Question
Which of the following is true of the cooling-off period?
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Question 3 of 10
3. Question
If a bond is purchased at $910 (a discount), which of the following has the most advantageous yield?
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Question 4 of 10
4. Question
Which of the following agencies is backed by the full faith and credit of the federal government?
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Question 5 of 10
5. Question
Which of the following are required disclosures of a margin agreement before trading can be initiated?
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Question 6 of 10
6. Question
Barbara is a 56 year old that just lost her sanitation job and is needing to withdraw money from one of her retirement accounts to make due. Which account would be best to withdraw from at the current time?
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Question 7 of 10
7. Question
A recent high school principal retiree is receiving money monthly from his pension. He also has a deferred compensation account in addition to his pension as a means for discretionary income but does not need the funds right now. He is moving around some mutual funds in his portfolio and is curious when at the earliest he will need to make a withdrawal from said account and report it as taxable income?
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Question 8 of 10
8. Question
An investigation is being run on a potential money laundering scheme. They notice a series of international wire transfers and some property transactions with an entity currently being looked into as a shell company. Which stage of money laundering do these findings reflect?
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Question 9 of 10
9. Question
Which of the following is TRUE regarding Treasury Bills?
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Question 10 of 10
10. Question
Which of the following is not required information that must be included in the U4?
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