1. C. Authorized shares
2. B. Record date
3. A. 10Qs and 10K
4. D. Convertible preferred
5. D. Cooling off period 20 days
6. C. Primary market
7. B. Inverse relationship interest rates and bond prices
8. D. Term maturity
9. B. Bond point
10. A. Trust Indenture Act of 1939
11. A. Treasury securities
12. A. Suitability
13. C. Credit risk
14. C. GNMA
15. C. Fed Funds
16. C. CDs
17. D. Private Placements
18. A. Rule 504
19. A. Inducement
20. D. Registration of personnel
21. C. Place of business
22. D. Outside employment
23. B. Churning
24. B. Maloney Act
25. D. defined contribution
26. B. SEP IRA
27. D. ESA
28. C. Omissions of material facts
29. A. Advertisements
30. C. Correspondence
31. D. Do not contact
32. C. Books and records
33. C. Suitability
34. D. Risk tolerance
35. B. Open end
36. B. NAV
37. D. LOI
38. B. Capital gain distributions
39. B. 75/5/10
40. C. Municipal bond fund
41. D. 75/5/10
42. C. Majority vote of the shares 12 b-1
43. A. UIT
44. C. Money market securities
45. C. Random withdrawal
46. B. Universal Life
47. D. Four federal acts
48. B. Commissions
49. B. UTMA
50. D. Prompt receipt and delivery
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