M1B

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  • CMFAS M1B (Set 1)

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    6 Feb 2020

    CMFAS M1B Exam Question

    A Representative must not directly or indirectly deal in securities which involve no change of beneficial ownership unless it is a:

    a) swap sale

    b) wash sale

    c) trade sale

    d) time sale

  • CMFAS M1B (Set 2)

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    6 Feb 2020

    CMFAS M1B Exam Question

    Which of the following goods and services qualify as acceptable soft dollar receipts?

    a) Premises expenses

    b) Employees' salaries.

    c) Direct money payment.

    d) Referral fees under a referral agreement.