Series 6: Exercise

Taken from our Series 6 Online Guide

Exercise

Answer true or false.

1. _____ For equity investors, potential gains equal potential losses.

2. _____ The right of limited liability applies to only preferred stockholders of a corporation.

Answer the following questions.

3. Put the following dates in the correct order in time:

I. Ex-date

II. Declaration date

III. Payment date

IV. Record date

A. I, II, III, IV

B. II, I, IV, III

C. II, IV, III, I

D. IV, I, II, III

4. If an investor wants to be eligible for a dividend previously declared with a record date of Friday, June 13, by what date should she purchase the common stock, and what is the ex-dividend date?

A. Purchase by Monday, June 9; ex-date Tuesday, June 10

B. Purchase by Wednesday, June 11; ex-date Thursday, June 12

C. Purchase by Tuesday, June 10; ex-date Tuesday, June 10

D. Purchase by Tuesday, June 10; ex-date Wednesday, June 11

Answers

1. False. For equity investors, upside potential is theoretically unlimited, while downside risk

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