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Free CRCM Exam Braindumps (page: 37)

Page 37 of 344
PDF with 463 Questions

Margin stock includes:

  1. Equity securities registered or having delisted trading privileges on a national securities exchange:
  2. Over-the-counter (OTC) securities that do not qualify for trading in the National Market System
  3. Warrants or rights to subscribe to or purchase a common stock
  4. Securities issued by a investment company registered under the Investment Company Act, except for:
    A company licensed under the Small Business Investment Company Act A company that has at least 95 percent of its assets continuously invested in exempted securities; or
    A company that issues face-amount certificates; or A company that is considered a money market fund under the SEC Rules

Answer(s): D



Margin stock includes:

  1. Equity securities registered or having delisted trading privileges on a national securities exchange:
  2. Over-the-counter (OTC) securities that do not qualify for trading in the National Market System
  3. Warrants or rights to subscribe to or purchase a common stock
  4. Securities issued by a investment company registered under the Investment Company Act, except for:
    A company licensed under the Small Business Investment Company Act A company that has at least 95 percent of its assets continuously invested in exempted securities; or
    A company that issues face-amount certificates; or A company that is considered a money market fund under the SEC Rules

Answer(s): D



Purpose credit is credit for all of the following EXCEPT:

  1. Immediate purpose of purchasing or carrying margin stock
  2. Incidental purpose of purchasing or carrying margin stock
  3. Ultimate purpose of purchasing or carrying margin stock
  4. Accidental purpose of purchasing or carrying margin stock

Answer(s): D



Purpose credit is credit for all of the following EXCEPT:

  1. Immediate purpose of purchasing or carrying margin stock
  2. Incidental purpose of purchasing or carrying margin stock
  3. Ultimate purpose of purchasing or carrying margin stock
  4. Accidental purpose of purchasing or carrying margin stock

Answer(s): D



Page 37 of 344



Post your Comments and Discuss Banking CRCM exam with other Community members:

LeAnne Hair commented on August 24, 2023
#229 in incorrect - all the customers require an annual review
UNITED STATES
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LeAnne Hair commented on August 24, 2023
#229 in incorrect - all the customers require an annual review
UNITED STATES
upvote

LeAnne Hair commented on August 24, 2023
I think question 204 has an incorrect solution. It should be D-Regulation E
UNITED STATES
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Igor commented on April 10, 2020
Guys, leave no stones unturned. Try to study every questions and anything other supplementary material you have. The exam is not easy. I just wrote mine and if it wss not for these questions I would have not have passed it.
BULGARIA
upvote

Lori commented on July 20, 2017
I had a good result. Worth the money.
UNITED STATES
upvote

Chipps commented on July 20, 2017
Studying from this dump helped me understand the concept and what comes in the exam. But I only get about 80 to 85% of the questions not 100% as it is claimed. Well... still good enough to pass.
UNITED STATES
upvote