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SOFQ Securities Operations Foundation Qualification (SOFQ) Questions and Answers

Questions 4

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

Options:

A.

The money market

B.

The foreign exchange market

C.

The capital market

D.

The equity market

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Questions 5

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:

Options:

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

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Questions 6

Grey market trading refers to:

Options:

A.

Trading of equity and bonds by investors aged 65 and over at the start of the tax year

B.

Trading in convertible and exchangeable bonds prior to their conversion

C.

Trading in corporate bonds following the bondholder's decision to take-up a put option

D.

Trading in a new issue of bonds by parties not involved in the syndication process

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Questions 7

On a scale of 1,500,000 Microsoft Corporation shares at a price of USD 3.78 per share, the SEC Fee payable is::

Options:

A.

USD 1.89

B.

USD 18.90

C.

USD 189.00

D.

USD 1890.00

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Exam Code: SOFQ
Exam Name: Securities Operations Foundation Qualification (SOFQ)
Last Update: Apr 27, 2024
Questions: 50
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