SOFQ PDF Exam Material 2021 Realistic SOFQ Dumps Questions
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NEW QUESTION 15
The market in which debt is issued over the long-term describes:
- A. The capital market
- B. The money market
- C. The foreign exchange market
- D. The equity market
Answer: A
NEW QUESTION 16
The following are examples of money market instruments:
- A. Convertible bonds and Mortgage-Backed Securities
- B. Zero coupon bonds and Floating-rate notes
- C. Commercial Paper and Certificate of Deposit
- D. Fixed-rate bonds and Step-up bonds
Answer: C
NEW QUESTION 17
The divisors applicable to the calculation of bank interest are:
- A. EUR = 360, USD = 365, GBP = 360
- B. EUR = 360, USD = 360, GBP = 365
- C. EUR = 365, USD = 365, GBP = 360
- D. EUR = 365, USD = 360, GBP = 365
Answer: B
NEW QUESTION 18
IPO' stands for:
- A. Initial Public Offering
- B. International Private Offering
- C. Inclusive Pre Offering
- D. Integrated Post Offering
Answer: A
NEW QUESTION 19
Internal trading systems typically do not:
- A. Have the capability to amend and cancel trades
- B. Have the capability to capture new trades
- C. Hold the firm's current trading positions
- D. Reflect the firm's settled positions at CSDs/custodians
Answer: D
NEW QUESTION 20
The abbreviation WAC stands for:
- A. Wheel and Calculate
- B. West Against Charge
- C. Wait About Control
- D. Weighted Average Cost
Answer: D
NEW QUESTION 21
A S.W.I.FT. MT541 instructs a custodian to:
- A. Deliver securities on a Free of Payment basis
- B. Receive securities on a Delivery versus Payment basis
- C. Deliver securities on a Delivery versus Payment basis
- D. Receive securities on a Free of Payment basis
Answer: B
NEW QUESTION 22
A S.W.I.FT. 'Bank Identifier Code' comprises::
- A. A bank code, a country code and a location code
- B. A region code, a country code and a city code
- C. A bank code, a continent code and a currency code
- D. A continent code, a country code and a municipality code
Answer: A
NEW QUESTION 23
On a scale of 1,500,000 Microsoft Corporation shares at a price of USD 3.78 per share, the SEC Fee payable is::
- A. USD 1.89
- B. USD 1890.00
- C. USD 18.90
- D. USD 189.00
Answer: D
NEW QUESTION 24
The term 'SSI' stands for:
- A. Standard Securities Instruction
- B. Securities Standing Instruction
- C. Standing Settlement Instruction
- D. Settlement Standard Instruction
Answer: C
NEW QUESTION 25
The Clearstream Group includes:
- A. The ICSD 'Clearstream Banking Paris' and the NSCD 'Clearstream Banking Munich'
- B. The ICSD 'Clearstream Banking Luxembourg' and the NSCD 'Clearstream Banking Frankfurt'
- C. The ICSD 'Clearstream Banking Amsterdam' and the NSCD 'Clearstream Banking Luxembourg'
- D. The ICSD 'Clearstream Banking Brussels' and the NCSD 'Clearstream Banking Berlin'
Answer: B
NEW QUESTION 26
The calculation of profit and loss for securities includes:
- A. Realised (potential) P&Land Unrealised (actual) P&L
- B. Realised (projected) P&L and Unrealised (authentic) P&L
- C. Realised (predicted) P&L and Unrealised (likely) P&L
- D. Realised (actual) P&Land Unrealised (potential) P&L
Answer: D
NEW QUESTION 27
Where Firm A has borrowed a fixed cash amount on a secured basis from Firm B, an increase in the collateral value means that:
- A. Firm A has exposure and must return some collateral to Firm B
- B. FirmB has exposure and must request additional collateral from Firm A
- C. Firm A has exposure and must request the return of some collateral from Firm B
- D. Firm B has exposure and must request the return of collateral from Firm A
Answer: C
NEW QUESTION 28
'ISO' stands for:
- A. Invention of Standards for Organisations
- B. Intraterritorial Organisation of Securities
- C. International Organisation for Standardisation
- D. Intercontinental Symposium of Organisations
Answer: C
NEW QUESTION 29
A bond which pays interest semi-annually quotes its interest rate:
- A. Relative to a period of 3 months
- B. Relative to a period of 12 months
- C. Relative to a period of 24 months
- D. Relative to a period of 6 months
Answer: B
NEW QUESTION 30
A bond which pays no interest during its lifetime sand repays capital on its maturity date is known as:
- A. A zero interest bond
- B. A zero interest note
- C. A zero coupon bond
- D. A nil interest bond
Answer: C
NEW QUESTION 31
The number of days of accrued interest, and the cash value of accrued interest - on a trade of GBP 30,500,000 Barclays Bank GBP Floating Rate Notes November 2028, paying interest quarterly - the current coupon rate is
3.7162% for the period 21s' November to November 21s' February, trade date 3rd February, value date 5th February, is:
- A. 45 days and GBP 139,739.30
- B. 107 days and GBP 336,883.85
- C. 76 days and GBP 236,004.15
- D. 45 days and GBP 141,680.12
Answer: C
NEW QUESTION 32
The two choices for the settlement method utilised within a securities market are:
- A. 'Account Settlement1 and Tumbling Settlement'
- B. 'Continuing Settlement'and'Account Settlement'
- C. Tumbling Settlement' and 'Continuing Settlement'
- D. 'Rolling Settlement' and 'Account Settlement'
Answer: D
NEW QUESTION 33
The ISIN stands for:
- A. International Secondary ID Notation; a 13-character alpha-numeric code
- B. International Secondary ID Notation; a 12-character alpha-numeric code
- C. International Securities Identification Number; a 13-character alpha-numeric code
- D. International Securities Identification Number; a 12-character alpha-numeric code
Answer: D
NEW QUESTION 34
The physical substances of natural gas/ barley and zinc fall within the following financial heading:
- A. Commodities
- B. Derivatives
- C. Securities
- D. Cash
Answer: A
NEW QUESTION 35
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