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Free CRCM Exam Braindumps (page: 94)

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






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