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SOFQ Exam Dumps - Securities Operations Foundation Qualification (SOFQ)

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Question # 4

A firm executing a securities trade in the capacity of agency broker intends:

A.

To take a securities position, and to remain market risk neutral

B.

Not to take a securities position, and not to remain market risk neutra

C.

Not to take a securities position, and to remain market risk neutral

D.

To take a securities position, and not to remain market risk neutral

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Question # 5

Within the security entitled 'Exxon Mobil Corporation USD 1.00 Common Stock', the 'USD 1.00' is commonly known as the:

A.

issue value

B.

par value

C.

notional quantity

D.

share size

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Question # 6

Bond types that are traded at a deeply discounted price are:

A.

Floating rate notes

B.

Zero coupon bonds

C.

Convertible bonds and Exchangeable bonds

D.

Fixed rate bonds

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Question # 7

From the perspective of one party to a securities trade, Free of Payment settlement without risk means:

A.

Delivering an asset to the counterparty prior to receipt of the contra asset from the counterparty

B.

Simultaneously exchanging securities and cash with the counterparty

C.

Delivering an asset to the counterparty following successful exchange of trade confirmations

D.

Receiving the counterparty's asset before instructing release of the contra asset

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