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WorksheetsRegs and Random Trivia
Total questions: 20
Worksheet time: 10mins
Name the island commonly known as the "land of fire and ice"
Faroe Islands
Iceland
Greenland
Isle of Man
Which of the following is defined as options "sales literature"?
Member firm options website
Standard option worksheet
Options memorandums for internal use
Letters of an "individual" nature sent to customers
Which branch of the U.S. armed forces used the slogan "It's not just a job, it's an adventure"?
Navy
Army
Air Force
Marines
Electronic delivery of a prospectus is NOT permitted for:
common stock issues
preferred stock issues
corporate debt issues
investment company issues
Which U.S. state has the most counties?
Texas
California
Georgia
New York
Under FTC and FINRA rules, individuals who ask to be placed on “Do Not Call” lists go on the list for:
3 years, and then must renew to remain on the list
4 years, and then must renew to remain on the list
5 years, and then must renew to remain on the list
10 years, and then must renew to remain on the list
What year was the current 50 star adopted?
1965
1938
1960
1945
Which of the following is NOT required to sell "144" stock?
Buyer's representation letter
Issuer's representation letter
Broker's representation letter
Seller's representation letter
Which city hosted the first Superbowl?
Saint Louis
Los Angeles
New York
New Orleans
Under the Regulation D private placement rule, advertising of offerings is:
prohibited
permitted only if the offering is made to a maximum of 35 non-accredited investors
permitted only if the offering is made to a maximum of 35 accredited investors
permitted only if the offering is made to accredited investors, without any numerical limit
What color is the black box in an airplane?
Orange
Black
White
Red
Securities Investor Protection Corporation protects brokerage:
Firm employees from employer mismanagement
Accounts against investment mismanagement
Accounts against broker-dealer failure
Firms from employee theft and embezzlement
Where can you find the longest continuous burning fire on earth?
New Straitsville, Ohio
Olympos National Park, Turkey
Mount Wingen, Australia
Centralia, Pennsylvania
Intrastate offerings are exempt from:
Federal Registration
State Registration
FINRA regulation
FDIC requirements
Highest grossing film ever?
Avengers: End Game
Avatar
Titanic
Spider-Man: No Way Home
Stabilization rules for new issues are set forth under the:
Securities Act of 1933
Securities Exchange Act of 1934
Trust Indenture Act of 1939
Investment Company Act of 1940
Johnny Depp is famously afraid of:
Clowns
Amber Heard
Pirates
Cologne
Who is NOT required to be fingerprinted at a broker-dealer?
Registered representative
ACATS clerk
Cage clerk
Registered principal
What was originally created for men that is now almost exclusively used by women?
Dress
Lip Stick
Corset
High Heeled Shoes
Issuers of securities are prohibited from:
Buying calls on their own stock
Selling calls on their own stock
Buying puts on their own stock
Selling puts on their own stock
