Securities Operations Foundation Qualification (SOFQ) (SOFQ) Practice Test

Questions # 11:

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

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

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

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

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

Questions # 12:

A bond which pays interest semi-annually quotes its interest rate:

Relative to a period of 6 months

Relative to a period of 24 months

Relative to a period of 12 months

Relative to a period of 3 months

Questions # 13:

A bond whose coupon rate increases at pre-specified dates and at a pre-specified interest rate is known as:

A floating rate note

A convertible bond

A mortgage-backed security

A step-up bond

Questions # 14:

The ISO currency code 'CHF represents:

Ivory Coast Franc

Chinese Renminbi

Swiss France

Norwegian Krone

Questions # 15:

The International Monetary Fund is an example of:

A supranational organisation

A sovereign wealth fund

An investment bank

A securities market regulator

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