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NEW QUESTION 30
What is the importance of the "at risk" rule?

• A. it limits liability to the amount at risk
• B. it limits deductions to the amount at risk
• C. deductions for interest may not exceed investment income
• D. it prevents carry forward of disallowed interest deductions

Answer: B

Explanation:
it limits deductions to the amount at risk. Deductions may not exceed contributed capital.

NEW QUESTION 31
A mutual fund custodian is paid according to which of the following specifications when receiving deposits from a shareholder's reinvestment plan?

• A. a percentage of the fund's net asset value
• B. a processing fee
• C. a commission for each share purchased
• D. a percentage of the sales charge

Answer: B

Explanation:
Explanation/Reference:
Explanation: a processing fee. Many custodian banks charge the custodian fee to the mutual fund rather than the individual shareholder.

NEW QUESTION 32
Big Guns Municipal Bond Dealer Corporation buys 100M of 7% 20-year GO bonds at par. The bonds are marked up and immediately re-offered for sale.
Which of the following re-offering prices would probably be deemed excessive?

• A. 5.00% net
• B. $100.75
• C. 6.8% net
• D. 6.9% less 0.5

Answer: A

Explanation:
5.00% net. The other quotes indicate moderate markups over cost. A quote of 5% net indicates a large markup and a price not "reasonably related to the market". The dollar price would be about $125, a 25% markup over the dealer's cost.

NEW QUESTION 33
Bubba has not existing positions in his account and writes 1 XYZ July 60 put and 1 XYZ July 60 call.
What is this position called?

• A. long straddle
• B. long combination
• C. short straddle
• D. short combination

Answer: C

Explanation:
short straddle. A straddle is a put and call on the same stock with the same strike price and expiration date.

NEW QUESTION 34
The amount for which the securities of a close-end investment company are selling above net asset value is know as:

• A. premium
• B. commission
• C. discount
• D. sales charge

Answer: A

Explanation:
premium. The price of closed-end investment companies is determined by trading of their shares in the open market. The price may be a discount to net asset value or a "premium" above net asset value.

NEW QUESTION 35
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