S&I Exam II

When introducing others, you should always do the following:

Someone who wants to be a stock broker needs to pass which of the following?

Some states require these individuals to also obtain a series 63 license:

Investments in the stock market are overseen by FINRA and insured by the FDIC.

Match your ________________________ to the customer’s knowledge level.

An individual who takes a series 6 exam is called:

At which of the following times is a follow-up email NOT recommended?

Always __________________the customer for holding.

Always be ___ when engaged in a biz conversation, even if you disagree with what is being said.

When introducing others, you should always do the following:

Term Life insurance

When seated for an informal banquet, place your napkin on your lap _______ with the fold _____.

Someone who wants to be a stock broker needs to pass which of the following?

Term Life insurance:

Which of the following regulate trading in the NYSE?

When dining in a formal or informal setting, one should always place their napkin on their lap:

You build a trusting environment when you use positive and action-oriented _______.

An informal place setting has how many utensils on the table when you sit down?

Always give a business card to everyone you meet

All of the following are ways to value stock except:

Follow-up is a key element of professional business communications

When servers bring food to your table at an in-formal banquet:

IPO stands for:

On a Supply/Demand graph: Excess supply with low demand is called:

What is the basis for the interest rate?

Where should your cell phone be during a business meeting?

Before Register Representatives can sell securities, they must do all of the following except

The most important trait for a successful entrepreneur to have is:

One of these things is not like the other, one of these things does not belong. Which?

Emails are like letters and should contain all of the following except:

Why would in Texas not see a tax benefit for investing in T-bills?

Both Series 6 and 7 candidates must do the following:

An individual who takes a series 6 exam is called:

Tom is invited to a staff meeting that begins at 10am. What time should he arrive?

When choosing a restaurant for a meeting, be sure to consider all of the following except:

In phone conversations, ________includes posture and smiling.

When preparing for a business luncheon, you should do all of the following except:

An individual who takes a series 7 exam is called:

Insurance agents have to pass the same exams & go through the same procedures as stock brokers

Always ___________the customer for holding.

Who is expected to pay for a business lunch?

Though not seen, ________________ can still be detected during phone conversations.

To fund a new business as a entrepreneur you can look to all of the following except:

The stock market is considered a low-risk investment.

At a business meal one must always eat everything they are offered

Susan is a representative of Chase meeting investors & bankers. What is likely the dress code?

What is the most important communication style in over the phone conversations?

The NASDAQ hours are 9-4pm EST

At a formal place setting, the goblets appear from left to right as:

Jane needs to discuss next year’s budget numbers with Ray. She thinks it will only take 15min

IPO stands for

When an agenda is distributed to attendees of a business meeting in advance, attendees should:

Arrive at business meetings:

The tone of your business communications should include all of the following except:

When servers bring food to your table at an in-formal banquet:

__________ are words / phrases you can use to avoid dead air.

Who sets the price of a stock in the stock market?

Avoid sounding too soft spoken or overbearing, mirror your customers’ __________ and _________.

International clients must be expected to conform to US norms in all of the following areas:

Both Series 6 and 7 candidates must do the following: