Missed Questions

Question 1

Deferred compensation plan suitable

Answer 1

An employer w fee highly paid employees who are near retirement age and want to reduce current taxes

Question 2

Question 3

Question 4

What is the largest first year deduction in an oil and gas exploratory drilling program?

Answer 4

Intangible drilling costs

Wildcat program
Deductible in the year incurred

Question 5

Broker dealer informs a customer that her order was not executed because of
Stock ahead the order most likely is

Answer 5

A limit order

Question 6

Income from which is security is NOT

Partially exempt to a corporate investor

Answer 6

Convertible bonds

Question 7

Bond bond 20 index includes
Which bonds
And when is it computed

Answer 7

Only GO bonds

And computed weekly

Question 8

When must a new options customer return a signed option agreement ?

Answer 8

With 15 days of account approval!!

Question 9

Question 10

When adding a REIT to your portfolio a disadvantage would be

Answer 10

Dividend treatment !

Because they are taxable to the investor at their full income tax rate

Question 11

Question 12

Question 13

An incorporated business model that allows flow through of business income and losses directly to shareholders in order to avoid double taxation

Answer 13

An S corporation

Question 14

Name of the Finra system that tracks both NYSE and NASDAQ transactions

Answer 14

tRF ( trade reporting facilities

Question 15

Ecns ( electronic trading systems )

Answer 15

Match but and sell orders at specific prices

Question 16

TRACE

Answer 16

Tracks corp and gov agency bonds in the OTC

Question 17

Question 18

Question 19

Question 20

Question 21

A head and shoulders bottom formation is an indication of

Answer 21

The reversal of a downtrend

Question 22