Total 405 Questions |
Updated On: Sep 14, 2024
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Question 1
Which of the following activities by a limited partner may subject the partner to unlimited liability?
Answer: D
Question 2
A call option is in the money when the market value of the underlying stock is:
Answer: C
Question 3
Bubba Corporation has 3,500,000 shares of common stock outstanding and its trading
volume in the few weeks has been as follows:
Week 1 - 43,000
Week 2 - 30,900
Week 3 - 37,500
Week 4 - 42,600
Week 5 - 33,000 (the most recent week)
If an affiliated person wanted to liquidate some of his holding of 100,000 shares pursuant to
SEC Rule 144, how many shares could he sell?
Answer: B
Question 4
What is the importance of the “at risk” rule?
Answer: A
Question 5
Bubba plans to borrow some money and pledge securities as collateral. Which of the following can he not use as collateral?
Answer: A
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Total 405 Questions |
Updated On: Sep 14, 2024
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