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Download General Securities Representative Qualification Examination (GS) Exam Dumps
NEW QUESTION 24
Under what circumstances may a registered investment company change its investment objective?
- A. after approval by a majority vote of the shareholders
- B. after SEC approval
- C. after it obtains a new charter from the state secretary
- D. after providing notice that is recorded in the Federal Register
Answer: A
Explanation:
after approval by a majority vote of the shareholders. All vital interests of the shareholders are subject to their majority vote.
NEW QUESTION 25
Under the Investment Company Act of 1940, what is the minimum net worth of a registered investment company?
- A. $100,000
- B. $5,000
- C. $50,000
- D. $25,000
Answer: A
Explanation:
Explanation/Reference:
Explanation: $100,000. This was a considerable amount of money in 1940.
NEW QUESTION 26
A tax shelter specifically designed for small employers is:
- A. a Shelter Island plan
- B. a subsidized deferral plan
- C. an IRA
- D. a SIMPLE
Answer: D
Explanation:
a SIMPLE. IRAs are for any individuals, not just small employers. The other choices do not exist.
NEW QUESTION 27
Maintaining a fair and orderly market and acting as a broker's broker are dual functions of the:
- A. competitive trader
- B. odd-lot dealer
- C. specialist
- D. two-dollar broker
Answer: C
Explanation:
Explanation/Reference:
Explanation: specialists. This description defines the function of the specialists.
NEW QUESTION 28
What Federal Reserve Board regulation governs the extension of securities-related credit by banks?
- A. Regulation U
- B. Regulation X
- C. Regulation T
- D. Regulation G
Answer: A
Explanation:
Explanation/Reference:
Explanation: Regulation U Regulation T is the extension of credit by broker/dealers. Reg U relates to the extension of credit by banks on securities.
NEW QUESTION 29
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