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Series 7: Quiz Heaven

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Grace Skinner

on 15 May 2015

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Transcript of Series 7: Quiz Heaven

Series 7: Quiz Heaven
Which of the following option strategies is most suitable in a retirement account under ERISA guidelines?
A. A long straddle
B. Covered call writing
C. A credit spread
D. No strategies, since options are not permitted in retirement plans
An investment in which of the following securities requires a customer to sign a statement attesting to her annual income and net worth?
Which TWO of the following option
strategies will be suitable recommendations
for an investor who thinks interest rates will rise?
I. Buying yield-based calls
II. Buying yield-based puts
III. Selling yield-based calls
IV. Selling yield-based puts
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B. Covered call writing
Options strategies in retirement accounts are limited to the most conservative approaches
a. A variable annuity
b. A collateralized mortgage obligation
c. A variable-rate demand obligation
d. A direct participation program
D. A direct participation program
An investor purchasing a DPP (a limited partnership) is required to sign a subscription agreement.
A. I and II
B. I and IV
C. II and III
D. III and IV
B. I and IV
Suitability Quiz 5
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