Unit 1- QBank Quiz Question Review

interest rate

Investing in emerging market stocks is least likely to expose your client to which of the following risks?

C) giving those shareholders an opportunity to participate in the future success of the company.

Reasons why a corporation might issue a convertible preferred stock would include

B) I and II

Under Rule 144, which of the following sales are subject to volume limitations? I. Control person selling registered stock held for one year II. Control person selling restricted stock held for two year III. Nonaffiliate selling registered stock held for one year IV. Nonaffiliate selling restricted stock held for two year

C) Unregistered stock acquired by a nonaffiliate under an investment letter

Which of the following sell transactions is not subject to the holding period restriction specified in SEC Rule 144?

B) II and III

Julie owns 100 shares of CCC at $25. CCC declares a 25% stock dividend. After the ex-date, what will she own? I. 125 shares II. 100 shares III. Cost basis of $25 IV. Cost basis of $20

B) the bargain element of the ISO is an AMT preference item.

One way in which incentive stock options (ISOs) differ from nonqualified stock options (NQSOs) is that