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Series 79 Sample Questions

Our Questions Mimic the Real Exam

Our courses reinforce retention over memorization with in-depth content and practice questions that mimic the actual test — so there are no surprises come exam day.

Closed & Open Stem

Most/Least/Best

Except or Not

Complex Multiple Choice


More about Testing Methods
Team members collaborating

You are in a bidding contest, advising the buyer. What can you tell the buyer that will help them improve their offer but will not cost more and will leave them maximum flexibility?

A.

Offer a lower multiple

B.

Offer a higher multiple

C.

Rapid time to close

D.

Offer more cash up front, less at closing

Answer: The Correct Answer is C

Rationale: An acquirer could sweeten its offer for a target company without increasing its price by offering a short time to close.

How long must an investor hold restricted securities which are issued by a company not regulated by the reporting requirements of the Securities Exchange Act of 1934?

A.

6 months

B.

1 year

C.

2 years

D.

18 months

Answer: The Best Answer is B

Rationale: If the securities are issued by a company not subject to the reporting requirements of the Securities Exchange Act of 1934, the restricted securities must be held for at least one year.

What clause is built into underwriting agreements to protect a new issue from the risk associated with setting the price of a new issue too low?

A.

Dynamic Pricing

B.

Greenshoe

C.

Brown Bag

D.

Market-out

Answer: The Best Answer is B

Rationale: A Greenshoe clause is built into underwriting agreements for the purpose of protecting an issue from excessive demand as a result of setting the price of an offering too low. This clause allows the issuer to authorize up to 15% more shares in the event that demand exceeds supply with regard to a new issu

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