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NEW QUESTION # 103
Which of the following strategies is an investor most likely to employ using options contracts?
Answer: D
Explanation:
Buying a put option gives the investor the right to sell a stock at a specific strike price, effectively setting a floor for potential losses if the stock price declines. This is a common risk-management strategy.
* A is correctbecause buying puts limits downside risk while retaining the potential for upside gains.
* Bis incorrect as buying puts is a bearish strategy, not one used during upward momentum.
* Cis incorrect because selling call options does not hedge losses; it is a speculative or income-generating strategy.
* Dis incorrect because buying calls is a bullish strategy, used during upward momentum, not downward.
NEW QUESTION # 104
A customer has a stock position that has increased in value since the time he purchased it. Which of the following terms describes his current situation?
Answer: B
Explanation:
An unrealized gain occurs when the value of an asset increases but has not yet been sold. If the customer sells the stock, the unrealized gain becomes a realized gain.
* B is correctbecause the increase in value without selling the stock is an unrealized gain.
* Ais incorrect because interest income refers to earnings from fixed-income securities.
* Cis incorrect because operating profit relates to a company's earnings, not an investor's portfolio.
* Dis incorrect because "out of the money" is a term used for options, not stocks.
NEW QUESTION # 105
Which of the following is a reportable obligation with respect to an individual's Form U4?
Answer: D
Explanation:
Step by Step Explanation:
* Form U4 Reporting Requirements: Registered persons must disclose criminal charges (excluding minor traffic violations) and material changes such as residential address changes. Gambling-related misdemeanors are considered reportable.
* Incorrect Options:
* Speeding Ticket: Typically not reportable unless it involves a felony.
* Business Telephone Number: Not material for Form U4.
References:
* FINRA Form U4 Instructions: FINRA Form U4.
NEW QUESTION # 106
Which of the following products is redeemable at net asset value (NAV)?
Answer: B
Explanation:
Open-end mutual funds are redeemable securities, meaning investors can sell their shares back to the fund at the NAV.
* D is correctbecause mutual funds allow redemption at NAV.
* A,B, andCare not redeemable securities.
NEW QUESTION # 107
A bond with a par value of $1,000 that is backed by the taxing power of a local government is known as:
Answer: C
Explanation:
Step by Step Explanation:
* General Obligation (GO) Bonds: Backed by the full faith and credit of the issuing municipality, relying on its taxing power for repayment.
* Revenue Bonds: Supported by revenues from a specific project or source.
* Treasury Bonds: Issued by the federal government.
* Corporate Bonds: Issued by corporations, not municipalities.
References:
* SEC Municipal Bond Guide: SEC GO Bonds.
NEW QUESTION # 108
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