Series 79 Sample Questions
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Closed & Open Stem
Most/Least/Best
Except or Not
Complex Multiple Choice
You are in a bidding contest, advising the buyer. What can you tell the buyer that will help them improve their offer but will not cost more and will leave them maximum flexibility?
A.
Offer a lower multiple
B.
Offer a higher multiple
C.
Rapid time to close
D.
Offer more cash up front, less at closing
How long must an investor hold restricted securities which are issued by a company not regulated by the reporting requirements of the Securities Exchange Act of 1934?
A.
6 months
B.
1 year
C.
2 years
D.
18 months
What clause is built into underwriting agreements to protect a new issue from the risk associated with setting the price of a new issue too low?
A.
Dynamic Pricing
B.
Greenshoe
C.
Brown Bag
D.
Market-out