1) What is the max number of CDs you can purchase without HD approval? a) 2000 b) 100 c) 250 d) 1 2) Which on WRV tells us there is a Blue Sky Restriction? a) FDIC b) SFP c) CP d) SKY 3) How is CD interest calculated? a) Actual Days; 365 b) 30 days, 360 c) Compound 4) When can a client enroll in autoroll? a) Anytime b) Up to 7 days after purchase c) At the time of the new issue order d) 10 days prior to maturity 5) How can we cancel autoroll? a) No option b) RWV under positions or FBSI c) RWOE d) Service Request 6) What product can not be purchased with uncollected funds? a) Cds b) Bonds c) Money Markets d) Stocks 7) What is the fee for a Rep. assisted CD trade? a) $1/ CD Mark-up b) Free c) $9.95 d) $19.95 8) What must be enabled prior to submitting a bid request? a) Alerts b) Autoroll c) Authorized User d) Price 9) How far back must we look to disclose any negative material evens when soliciting bonds/CDs? a) 6 months b) No disclosure c) 1 year d) As far bas as we can see 10) FDIC insurance covers? a) Principle Only b) Interest Only c) Secondary CDs Premium d) Principle and Interest up to $250k 11) Factional CDs can be purchased in what increments? a) $1000 b) $100 c) $1 d) $10,000 12) Non-fractional CDs can be purchased in what increments? a) $1 b) $10 c) $1000 d) $10,000 13) What is the FBSI Command for Autoroll? a) AORD ROLL DISP b) BVOL c) BSEC DISP d) BOLA 14) How many times do I have to read off the CD disclosure? a) For each CD purchased b) Once/ customer unless customer objects c) Each new order even if client objects d) Never 15) CDs are offered over what timeframe? a) 1, 2, 3, 5, 10 years only b) 1mo. to 10 years c) 3mo., 6mo., 9mo., 1 yr only d) 6mo., 1 yr, 2 yr, 5 yr 16) What do CD orders typically appear in a customers account? a) At the time of the order b) 7 days prior to settlement c) On the trade date d) Overnight cylce 17) How are Brokered CDs priced? a) By current market value b) Based on Principle amount c) Based on principle + interest d) As the number of CDs (ex. 200). 18) When does a CD start earning interest? a) Time of order b) Starting on Settlement date c) Trade date d) at maturity 19) How can a customer cancel a CD order? a) Open orders page b) Can not be done c) Anytime after trade date d) Anytime prior to settlement 20) How many rungs are needed for a CD ladder? a) 2 b) 4 c) 3 d) 5 21) In RWV, what must be checked to place a customer trade? a) Include outside holdings b) Quantity c) I plan to submit this order d) Price 22) How do we know if a CD is call protected? a) All CDs are call protected b) No CDs are call protected c) CP in attributes d) Highlighted in blue 23) How can we identify a fractional CD? a) Highlighted in blue/ fractional CD colum b) All CDs are fractional c) We do not offer fractional CDs. d) Can be viewed only on order ticket 24) How can we find the bank state for a CD the customer is choosing? a) CD details page b) SKY in attributes c) On the order ticket d) Google 25) How can see if a bank is a foreign bank?  a) All banks used are domestic b) Google c) CD details d) Call HD

CD/ UST Basics

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