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ICMA SOFQ Dumps

Exam Code:
SOFQ
Exam Name:
Securities Operations Foundation Qualification (SOFQ)
Last Update: May 3, 2024
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Securities Operations Foundation Qualification (SOFQ) Practice Questions

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Securities Operations Foundation Qualification (SOFQ) Questions and Answers

Questions 1

Where the term 'Ordinary Shares' is used in the UK, the equivalent term in the US is:

Options:

A.

Common stock

B.

Corporate Shares

C.

Normal Shares

D.

Ordinary Stock

Questions 2

Within internal books and records, the recording of the trading book on a securities trade facilitates:

Options:

A.

Reconciliation of settled positions, per trading book and per security - between the trading department and operations

B.

Reconciliation of settled positions, per trading book and per security - between operations and the firm's custodian

C.

Reconciliation of trading positions, per trading book and per security - between the firm's counterparty and the firm's custodian

D.

Reconciliation of trading positions, per trading book and per security - between the trading department and operations

Questions 3

The US regulator 'SEC stands for:

Options:

A.

Securities Exchange Corporation

B.

Securities Enterprise Conglomerate

C.

Securities and Exchange Commission

D.

Securities Endeavour Company

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