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Demutualization refers to:

(2 Points)

the process by which mutual fund companies close an existing fund

the process by which insurance companies owned by shareholders are converted to companies owned by policyholders

the process by which insurance companies owned by policyholders are converted to companies owned by shareholders

the process by which mutual fund companies implement a new mutual fund

43.Mutual funds face all of the following restrictions except

(2 Points)

They cannot hold more than 10% of the portfolio’s net assets in one security.

They cannot purchase commodity futures.

They cannot purchase more than 5% of a company’s voting stock.

They are limited in their holdings of illiquid securities.

44.Shareholders have the following rights associated with the purchase of newly issued shares:

(2 Points)

both of these

none of these



45.What do mutual funds invest in?

(2 Points)

All of these


Money market instruments


46.What role do insurance companies play for the funds entrusted to them by policyholders?

(2 Points)





47.Which of the following statements concerning self-regulatory organizations is true?

(2 Points)

All of these statements are true

The IIROC, Toronto Stock Exchange, and MFDA are examples of SROs

If an SRO rule differs from a provincial rule, the provincial rule applies

SROs are an oversight body that monitors the actions of its members, but enforcement of rules and regulations is carried out by the provincial securities commission

48.If the government estimates its revenue to be $100 and its expenses to be$80 for a given year, then:

(2 Points)

the national debt is $20

the national surplus is $20

the budget deficit is $20

the budget surplus is $20

49.Which of the following would not be considered corporate insiders?
I. directors of a company
II. a shareholder owning 5.5% of a company’s shares
III. the CEO of a company
IV. the CEO of a subsidiary

(2 Points)

II and III



I and IV

50.Which group of funds is subject to the least amount of regulation?

(2 Points)

Hedge funds

All are equally regulated

Mutual funds

Segregated funds

51.All of the following hedge fund structures contribute to the “retailization” of hedge funds or broader access for investors, except:

(2 Points)

limited partnerships

closed-end funds

principal-protected notes

commodity pools

52.According to Jones’s model, what would a successful manager do in a rising market?
I. Buy or go long securities that will rise more than the market
II. Sell or go short securities that will rise less than the market
III. Sell or go short securities that will decline more the market
IV. Buy or go long securities will fall less than the market

(2 Points)

I and II

III and IV

I and III

II and III


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