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Question 1:

A bond which permits the issuer to redeem the bond prior to its maturity date is known as a:

A. Demandable bond

B. Callable bond

C. Requestable bond

D. Askable bond

Correct Answer: B

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Question 2:

Within internal books and records, the recording of the trading book on a securities trade facilitates:

A. Reconciliation of settled positions, per trading book and per security – between the trading department and operations

B. Reconciliation of settled positions, per trading book and per security – between operations and the firm\’s custodian

C. Reconciliation of trading positions, per trading book and per security – between the firm\’s counterparty and the firm\’s custodian

D. Reconciliation of trading positions, per trading book and per security – between the trading department and operations

Correct Answer: D

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Question 3:

The divisors applicable to the calculation of bank interest are:

A. EUR = 360, USD = 360, GBP = 365

B. EUR = 365, USD = 360, GBP = 365

C. EUR = 365, USD = 365, GBP = 360

D. EUR = 360, USD = 365, GBP = 360

Correct Answer: A

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Question 4:

The market in which debt is issued over the long-term describes:

A. The money market

B. The foreign exchange market

C. The capital market

D. The equity market

Correct Answer: C

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Question 5:

The two choices for the settlement method utilised within a securities market are:

A. \’Account Settlement1 and Tumbling Settlement\’

B. Tumbling Settlement\’ and \’Continuing Settlement\’

C. \’Continuing Settlement\’and\’Account Settlement\’

D. \’Rolling Settlement\’ and \’Account Settlement\’

Correct Answer: D

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Question 6:

The date on which a securities trade is intended to settle is: A. The actual settlement date

B. The contractual trade date

C. The value date

D. The trade date

Correct Answer: C

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Question 7:

The following are examples of money market instruments:

A. Zero coupon bonds and Floating-rate notes

B. Convertible bonds and Mortgage-Backed Securities

C. Fixed-rate bonds and Step-up bonds

D. Commercial Paper and Certificate of Deposit

Correct Answer: D

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Question 8:

Thefollowing is an inaccurate statement:

A. Warrants have a variable exercise price

B. Warrants are exercisable by the warrant holder

C. Warrants will expire if not exercised by the expiry date

D. Warrants are detachable from the original security

Correct Answer: A

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Question 9:

The type of organisation that provides securities underwriting services is known as a

A. Investment bank

B. Insurance company

C. Commercial bank

D. Pension fund

Correct Answer: A

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Question 10:

The Clearstream Group includes:

A. The ICSD \’Clearstream Banking Paris\’ and the NSCD \’Clearstream Banking Munich\’

B. The ICSD \’Clearstream Banking Brussels\’ and the NCSD \’Clearstream Banking Berlin\’

C. The ICSD \’Clearstream Banking Luxembourg\’ and the NSCD \’Clearstream Banking Frankfurt\’

D. The ICSD \’Clearstream Banking Amsterdam\’ and the NSCD \’Clearstream Banking Luxembourg\’

Correct Answer: C

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Question 11:

Where the term \’Ordinary Shares\’ is used in the UK, the equivalent term in the US is:

A. Common stock

B. Corporate Shares

C. Normal Shares

D. Ordinary Stock

Correct Answer: A

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Question 12:

A cash amount of GBP 5,909,658.47 lent on a Thursday until the second Monday (just over 1 week later) at a rate of 2.973%, would attract:

A. 7 days of interest and a cash interest amount of GBP 3369.48

B. 9 days of interest and a cash interest amount of GBP 4392.35

C. 13 days of interest and a cash interest amount of GBP 6344.51

D. 11 days of interest and a cash interest amount of GBP 5294.89

Correct Answer: D

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Question 13:

IPO\’ stands for:

A. International Private Offering

B. Inclusive Pre Offering

C. Initial Public Offering

D. Integrated Post Offering

Correct Answer: C

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Question 14:

The term \’SSI\’ stands for:

A. Standing Settlement Instruction

B. Standard Securities Instruction

C. Settlement Standard Instruction

D. Securities Standing Instruction

Correct Answer: A

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Question 15:

The ISIN stands for:

A. International Securities Identification Number; a 13-character alpha-numeric code

B. International Secondary ID Notation; a 13-character alpha-numeric code

C. International Securities Identification Number; a 12-character alpha-numeric code

D. International Secondary ID Notation; a 12-character alpha-numeric code

Correct Answer: C

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