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NEW QUESTION 54
Bubba opens a margin account and sells short 100 shares of XYZ at $50. Assuming a Reg T requirement of 50%, what is the opening balance in Bubba's account?

• A. $7,500
• B. $5,000
• C. $10,000
• D. $2,500

Answer: A

Explanation:
$7,500. The short sale transaction is $5,000. The Reg T required deposit is $2,500 ($5,000 x 50%). Adding both results in $7,500.

NEW QUESTION 55
A tax-free rollover of assets between qualified retirement plans for the benefit of a specific individual is permitted so long as it is accomplished within:

• A. 60 days
• B. 90 days
• C. one year
• D. 30 days

Answer: A

Explanation:
Explanation/Reference:
Explanation: 60 days. ERISA permits 60 days for rollovers.

NEW QUESTION 56
Regulation T is set at 50%. Bubba's account contains long positions in the following securities with the prices listed:
100 ABC $30
200 XYZ $70
200 QBB $40
200 KKK $25
Total market value = $30,000
Debit balance in the account = $12,000
Net equity balance of the account = $18,000
Bubba wants to buy 100 shares of DUM at $30 per share and 100 shares of OUT at $120. How much additional money must be deposited?

• A. $1,500
• B. $6,000
• C. $7,000
• D. $4,500

Answer: D

Explanation:
$4,500. The purchase of DUM will cost $3,000 (100 x $30) and the purchase of OUT will cost $12,000 (100 x $120). Both combined total a cost of $15,000. Reg T requires 50% ($7,500) and Bubba only has $3,000. So he is $4,500 short.

NEW QUESTION 57
Bubba Corporation has 3,500,000 shares of common stock outstanding and its trading volume in the few weeks has been as follows:
Week 1 - 43,000
Week 2 - 30,900
Week 3 - 37,500
Week 4 - 42,600
Week 5 - 33,000 (the most recent week)
If an affiliated person wanted to liquidate some of his holding of 100,000 shares pursuant to SEC Rule 144, how many shares could he sell?

• A. 35,000
• B. 37,400
• C. 36,000
• D. 38,500

Answer: C

Explanation:
36,000. Under Rule 144 up to one percent of the outstanding shares or the average weekly volume for the preceding four weeks, whichever is greater. The total volume for the last four seeks was 144,000 shares. The average is therefore 36,000 shares. This is greater than one percent of the shares outstanding (35,000).

NEW QUESTION 58
The public offering price of the securities of an open-end management investment company is:

• A. determined by a method set forth in the prospectus of the issuer
• B. determined by the relative demand for the shares of the issuer
• C. based upon net asset value of the securities underlying the shares of the issuer plus a 10 % sales charge
• D. the price used by distributors in determining sales incentive discounts to individual purchasers

Answer: A

Explanation:
Explanation/Reference:
Explanation: determined by a method set forth in the prospectus of the issuer. The method is described in the prospectus. It uses the net asset value plus any sales charge

NEW QUESTION 59
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