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Question No. 1
Which of the following terms describes an offer to purchase some or all shareholders' shares in a
corporation, usually at a premium to the market price?
A. Tender
B. Stock split
C. Redemption
D. Class action
Answer: A
Question No. 2
Which of the following statements best describes a characteristic of 529 savings plan accounts?
A. There are no contribution limits to the account.
B. The number of contributors to the account is limited.
C. Using funds for undergraduate or graduate studies is permissible.
D. Earnings are taxed to the donor at the time of a qualified withdrawal.
Answer: C
Question No. 3
Which of the following statements is true regarding the ownership of investment company shares
held as tenants in common?
A. All tenants must sign redemption requests.
B. Any income is distributed evenly among the tenants.
C. Each tenant has a fractional interest in the investment.
D. Upon the death of a tenant, all shares in the account are taxable in the estate of the
deceased.
Answer: C
Question No. 4
A broker-dealer (BD) creates a marketing postcard that includes a statement regarding FINRA's
endorsement of the BD. Which of the following responses is true?
A. The statement regarding FINRA's endorsement is not permissible.
B. The statement is permissible if a principal of the BD approves it in writing prior to use.
C. The statement is permissible if the statement is approved in writing by FINRA prior to use.
D. The statement is permissible if the postcard does not discuss specific investment
opportunities.
Answer: A
Question No. 5
According to FINRA rules, under which of the following circumstances, if any, is a member firm
permitted to send gifts to a registered representative of another member firm?
A. Under no circumstances
B. When the value of all gifts during a period of one year does not exceed $100
C. When no single gift exceeds $100 and there is no limit on the number of gifts
D. When no single gift exceeds $100 in value and the maximum value of all gifts per year
equals $250
Answer: B
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