Câu 50: CRCM: Certified Regulatory Compliance Manager

Margin stock includes:

1. A. Equity securities registered or having delisted trading privileges on a national securities exchange:
2. B. Over-the-counter (OTC) securities that do not qualify for trading in the National Market System
3. C. Warrants or rights to subscribe to or purchase a common stock
4. D. Securities issued by an investment company registered under the Investment Company Act, except for: A company licensed under the Small Business Investment Company Act A company that has at least 95 percent of its assets continuously invested in exempted securities; or A company that issues face-amount certificates; or A company that is considered a money market fund under the SEC Rules — đáp án hiện tại