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Free CRCM Exam Braindumps (page: 93)

Page 93 of 344
PDF with 463 Questions

In evaluating the coverage of a bank's Regulation U compliance for loans to purchase or carry margin stocks, which of the following securities is NOT covered in the regulatory definition of "margin stock"?

  1. Any OTC stock
  2. A security issued by an investment company that is licensed under the Small Business Administration Act
  3. A warrant or right to subscribe to, or purchase, a margin stock
  4. An equity security registered, or having unlisted trading privileges, on a national exchange

Answer(s): B



In evaluating the coverage of a bank's Regulation U compliance for loans to purchase or carry margin stocks, which of the following securities is NOT covered in the regulatory definition of "margin stock"?

  1. Any OTC stock
  2. A security issued by an investment company that is licensed under the Small Business Administration Act
  3. A warrant or right to subscribe to, or purchase, a margin stock
  4. An equity security registered, or having unlisted trading privileges, on a national exchange

Answer(s): B



In evaluating the coverage of a bank's Regulation U compliance for loans to purchase or carry margin stocks, which of the following securities is NOT covered in the regulatory definition of "margin stock"?

  1. Any OTC stock
  2. A security issued by an investment company that is licensed under the Small Business Administration Act
  3. A warrant or right to subscribe to, or purchase, a margin stock
  4. An equity security registered, or having unlisted trading privileges, on a national exchange

Answer(s): B



For purposes of insider lending laws and regulations, what is the definition of the term executive officer?

  1. All bank officers at or above the level of executive vice president
  2. Anyone who has the authority to participate in major policymaking functions at the bank NOTES
  3. Anyone who has the authority to participate in lending decisions at the bank
  4. All bank officers at or above the level of assistant vice president

Answer(s): B



Page 93 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
upvote

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