CMFAS M1B (Set 1)

SGD 29.90

5 Aug 2019

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

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  • CMFAS M1B (Set 2)

    SGD 29.90 Add to cart

    5 Aug 2019

    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.