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Beta coefficient is a measure of:
A. The volatility of the broad stock market.
B. The liquidity of an individual stock relative to the sector average.
C. Only the upside participation of an individual stock.
D. The volatility of an individual stock relative to the broad stock market.
Answer: D
Explanation:
The beta coefficient measures the sensitivity of a stock's returns relative to the overall market (usually the S&P 500). A beta of:
* 1.0 indicates the stock moves in line with the market.
* Greater than 1.0 suggests the stock is more volatile than the market.
* Less than 1.0 suggests the stock is less volatile.
* D is correct because beta specifically compares the volatility of a stock to the market.
* A is incorrect as beta does not measure the market's volatility.
* B is incorrect as beta considers both upside and downside movements.
* C is incorrect as beta does not measure liquidity.
Reference: SIE Study Guide, Chapter 6: Portfolio Management
NEW QUESTION # 73
Trades that settle within the period preset by regulators of the particular market are considered to have which of the following types of settlement?
A. Rolling
B. Next day
C. Cash
D. Regular way
Answer: D
Explanation:
"Regular way" settlement refers to the standard settlement cycle for securities transactions, which is T+2 for most stocks and bonds. This timeline is set by regulators to ensure orderly processing of trades.
* D is correctbecause regular way settlement follows the preset T+2 cycle.
* Ais incorrect because cash settlement occurs the same day as the trade.
* Bis not a recognized term for settlement types.
* Cis incorrect because next-day settlement applies only to specific securities (e.g., Treasury securities).
NEW QUESTION # 74
Which of the following responses best characterizes a money market mutual fund?
A. It pays a fixed rate of return.
B. Its underlying investments are short term.
C. Its yield always exceeds a savings account rate.
D. Its price is fixed at $1 per share.
Answer: B
Explanation:
Money market mutual funds invest in highly liquid, short-term debt instruments, such as Treasury bills, commercial paper, and certificates of deposit. While the funds aim to maintain a stable $1 NAV, this is not guaranteed.
* C is correct because the fund's investments are short term.
* A is incorrect because the rate of return is not fixed; it varies with market interest rates.
* B is incorrect because while the fund tries to maintain a $1 NAV, it is not guaranteed.
* D is incorrect because yields do not always exceed those of savings accounts.
Reference: SIE Study Guide, Chapter 5: Money Market Funds
NEW QUESTION # 75
An associated person at a member firm receives a complaint from a customer involving allegations of forgery.
Once the complaint is received, which of the following actions is required?
A. The member firm must report the event promptly to FINRA.
B. The member firm must complete arbitration to resolve the complaint with the customer before filing a report with FINRA.
C. The member firm must have a principal review the complaint and determine if the forgery occurred before filing a report with FINRA.
D. The member firm is not required to report the event to FINRA but must maintain a file of the complaint for four years.
Answer: A
Explanation:
Step by Step Explanation:
* FINRA Rule 4530: Requires member firms to report certain events, including allegations of forgery, to FINRA promptly.
* Incorrect Options:
* Option B: Maintaining a record does not substitute for required reporting.
* Option C: Arbitration isn't required before reporting.
* Option D: Reporting is mandatory irrespective of internal investigations.
References:
* FINRA Rule 4530 (Reporting Requirements): FINRA Rule 4530.
NEW QUESTION # 76
Pursuant to FINRA rules, which of the following content is inappropriate to link to from a business-related social media site?
A. A link to an investment's website stating the investment's performance over the next five years
B. A link to a company's filing on EDGAR that contains information on a press release about the company
C. A link to information on a mutual fund that discusses previous performance over the last five years
D. A link to the firm's website discussing its products and services
Answer: A
Explanation:
Under FINRA Rule 2210, firms must avoid making predictions or projections of future investment performance.
* B is correct because it involves prohibited predictive statements.
* A, C, and D are acceptable under FINRA guidelines, as they do not involve prohibited content.
Reference: FINRA Rule 2210 (Communications with the Public)
NEW QUESTION # 77
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