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NEW QUESTION # 16
Which investment dealer category do discount brokers belong to?
Answer: C
Explanation:
Discount brokers fall under the category ofretail firms. Retail firms cater to individual investors and often provide services such as executing trades at reduced commission rates, but they typically do not offer financial advice or portfolio management. Discount brokers provide online platforms for self-directed investors.
* A. Institutional firms: These firms serve large-scale investors such as pension funds or mutual funds, not individual investors.
* C. Integrated firms: These firms operate in both retail and institutional markets, but discount brokers are specifically associated with retail services.
* D. Boutique firms: These firms specialize in niche markets or services, such as wealth management or specific industry securities, rather than general retail brokerage.
NEW QUESTION # 17
What tern describes the requirementof registrants to collectextensive personal and financial Information from individuals before making an investment recommendation?
Answer: A
Explanation:
TheKnow Your Client (KYC) rulerequires registrants to gather detailed personal and financial information from clients before providing investment advice or making recommendations. This ensures that investment recommendations align with the client's financial goals, risk tolerance, and circumstances.
* This obligation is critical for ensuring suitability in investment products and maintaining regulatory compliance.
* Suitability rule (A)refers to matching investments to a client's needs but comes after gathering KYC information.
* Gatekeeper obligations (C)focus on preventing illegal activities like money laundering.
* Fiduciary duty (D)applies to acting in the best interest of the client but is broader in scope.
References:Volume 1, Chapter 3 ("Know Your Client Rule").
NEW QUESTION # 18
Where docs primary responsibility for gatekeeping inthe securities industry reside?
Answer: B
Explanation:
The primary responsibility for gatekeeping in the securities industry resides with CIRO (Canadian Investment Regulatory Organization) dealer members and their employees. This gatekeeping role includes adhering to regulations, implementing Know Your Client (KYC) and Know Your Product (KYP) rules, and ensuring compliance with ethical standards and client-focused reforms.
Dealer members and their employees must ensure that the products and services offered are suitable for their clients and that any potential conflicts of interest are managed appropriately.
Study Document References:
* Volume 1, Chapter 3:The Gatekeeper Role in Securities Regulation, focusing on the responsibilities of CIRO dealer members.
NEW QUESTION # 19
What is the main benefit of investing in preferred shares?
Answer: B
Explanation:
Preferred shares provide investors withpriority to receive fixed dividends ahead of common shareholders.
This fixed income feature makes preferred shares similar to debt instruments but with characteristics of equity. While preferred shareholders have no guaranteed dividend payment (subject to the company's discretion and profitability), they are entitled to receive dividends before any distribution to common shareholders.
Preferred shares do not have a higher potential for capital appreciation compared to common shares, as they are typically designed for income rather than growth. Additionally, preferred shareholders have a lower claim on assets compared to debt holders.
NEW QUESTION # 20
A large corporation has issued the following securities:commercialpaper, first mortgage bonds, and equipment trust certificates Which ranging of the securities is correctly seated from most secure to teas: secure?
Answer: C
Explanation:
The ranking of securities in terms of security is determined by the collateral backing each type of instrument and the priority of claims in the event of default. The correct order is as follows:
* Equipment Trust Certificates: These are backed by specific physical assets, such as equipment or machinery. The certificate holders have a direct claim on these assets, making them the most secure.
* First Mortgage Bonds: These are secured by the corporation's real estate assets. They represent a claim on the property, ensuring a high level of security, but less secure than equipment trust certificates as real estate may fluctuate in value or face delays in liquidation.
* Commercial Paper: This is unsecured short-term debt issued by corporations. As it lacks collateral, it is the least secure of the three securities. Investors rely on the issuing corporation's creditworthiness and financial stability.
The distinction in security levels reflects the degree of collateralization and claim priority, ensuring investors are compensated for the relative risk levels.
NEW QUESTION # 21
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