Series 65: Exercise

Taken from our Series 65 Online Guide

Exercise

Answer True or false

  1. 1. True or false. A bond’s coupon rate depends on the creditworthiness of the issuer.
  2. 2. True or false. A ratings agency is hired by a potential investor, a transfer agent, or a broker-dealer to assess the creditworthiness of a bond issue.
  3. 3. True or false. The Tax Equity and Fiscal Responsibility Act of 1982 prohibited the further issuance of registered bonds.
  4. 4. True or false. When book-entry bonds are held in street name, the beneficial owner is the broker-dealer.
  5. 5. True or false. All else equal, an investor would rather own a callable bond rather than a bond with a put feature, because the coupon rate is higher.

Answers

  1. 1. True. The coupon rate depends on the creditworthiness of the bond, which depends on the creditworthiness of the iss

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