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Free 3I0-010 Exam Braindumps (page: 21)

Page 20 of 86
PDF with 342 Questions

What is a convertible security?

  1. a security the owner has the right to convert
  2. a security the issuer has the right to redeem
  3. a security the owner has the right to redeem
  4. a security the issuer has the right to convert

Answer(s): A



The interest rate below which the coupon for a FRN may not be fixed is called the:

  1. variable rate
  2. fixed rate
  3. floating rate
  4. minimum or floor rate

Answer(s): D



A bank responsible for making due payments of principal and interest on a bond is called the

  1. purchase agent
  2. paying agent
  3. fiscal agent
  4. market maker

Answer(s): B



All trades, internal and external, should be entered into trade capture systems:

  1. the same day they are executed
  2. as soon as possible
  3. within 24 hours of execution
  4. within an hour of execution

Answer(s): B






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