Untitled Quiz

This is usually a company that is issuing additional securities into the marketplace and a prospectus is normally still required.

This is the right of the consumer to cancel certain types of loans or agreements.

Investors have this right within 48 hours of the purchase if they need.

<p>This is when an issuer purchases the securities of another issuer.</p> Signup and view all the answers

<p>This is when you provide advice to the issuer regarding what type of securities to issue, pricing, helping to sell the new securities.</p> Signup and view all the answers

<p>This is what dealer members/RRs must do in every part of business to ensure that their clients are getting the proper service that they deserve.</p> Signup and view all the answers

<p>Both B and C</p> Signup and view all the answers

<p>A set of values or morals that guide individual behavior.</p> Signup and view all the answers

<p>A higher standard imposed by common law where one person places trust in another's honest intentions.</p> Signup and view all the answers

<p>To oversee the securities industry and regulate the actions of Registered Representatives.</p> Signup and view all the answers

<p>To observe high standards of ethics and not engage in detrimental business conduct.</p> Signup and view all the answers

<p>Understanding your client's situation before making investment recommendations.</p> Signup and view all the answers

<p>Understanding the products you recommend to clients.</p> Signup and view all the answers

<p>It refers to a client's financial situation, investment knowledge, objectives, time horizon, and risk tolerance.</p> Signup and view all the answers

<p>Values that define personal goals that may be years away.</p> Signup and view all the answers

<p>Situations requiring a choice between two or more conflicting moral options.</p> Signup and view all the answers

<p>It evaluates whether a person's reputation would be harmed if their actions became public.</p> Signup and view all the answers

<p>A test to check if a person's actions are illegal or violate industry rules.</p> Signup and view all the answers

<p>The actions we take daily to achieve our goals.</p> Signup and view all the answers

<p>A climate of ethical behavior that promotes trust throughout an organization.</p> Signup and view all the answers

<p>The belief that moral principles are situational and vary between individuals.</p> Signup and view all the answers

<p>They often result in various ethical thinking methods like end based, rule based, and personalistic based ethical thinking.</p> Signup and view all the answers

<p>A fund that covers client accounts of dealer members, covering losses from insolvency.</p> Signup and view all the answers

<p>To improve, coordinate, and harmonize the regulation of Canadian capital markets.</p> Signup and view all the answers

<p>The sale of a new issue of stocks or bonds.</p> Signup and view all the answers

<p>A person maintaining the requirements for registration to provide securities services.</p> Signup and view all the answers

<p>Buying and selling existing securities on an exchange</p> Signup and view all the answers

<p>An industry organization that regulates its own members and enforces conformity with securities legislation.</p> Signup and view all the answers

<p>Fair and orderly markets.</p> Signup and view all the answers

<p>It serves as the governing body for global securities regulatory agencies.</p> Signup and view all the answers

<p>An organization that assesses and addresses vulnerabilities in the financial system.</p> Signup and view all the answers

<p>It regulates securities firms and enhances compliance across borders.</p> Signup and view all the answers

<p>A federal Crown Corporation providing deposit insurance for members.</p> Signup and view all the answers

<p>Businesses must obtain consent to send commercial electronic messages.</p> Signup and view all the answers

<p>A situation where the interests of a client and a registrant diverge.</p> Signup and view all the answers

<p>Protecting against cyber attacks that threaten operational integrity.</p> Signup and view all the answers

<p>An investment representative role offering reduced commission services.</p> Signup and view all the answers

<p>A list establishing rules for telemarketing calls.</p> Signup and view all the answers

<p>A suitability test for individuals seeking IIROC approval.</p> Signup and view all the answers

<p>Key information about each mutual fund's class or series.</p> Signup and view all the answers

<p>A registered individual who sells securities and provides client services.</p> Signup and view all the answers

<p>Rules regarding the collection and use of personal information in commerce.</p> Signup and view all the answers

<p>To provide discretionary management for managed accounts.</p> Signup and view all the answers

<p>Direct orders to buy or sell securities given to registered representatives.</p> Signup and view all the answers

<p>Proficiency in knowledge and skills for ongoing licensing.</p> Signup and view all the answers

<p>Regulations regarding the use of social media by dealer members.</p> Signup and view all the answers

<p>The individual financially responsible for the account.</p> Signup and view all the answers

<p>An account requiring full payment before securities purchases.</p> Signup and view all the answers

<p>A process to observe client behavior for signs of money laundering.</p> Signup and view all the answers

<p>An account type where securities purchase occurs with payment on settlement date.</p> Signup and view all the answers

<p>An account where a dealer member can make decisions without constant client approval.</p> Signup and view all the answers

<p>The illegal use of non-public information by company insiders.</p> Signup and view all the answers

<p>An account managed continuously by a dealer member under a signed agreement.</p> Signup and view all the answers

<p>An account requiring partial payment for securities purchases.</p> Signup and view all the answers

<p>A client in a position of public trust or their close associates.</p> Signup and view all the answers

<p>To grant legal authority for someone to act on another's behalf.</p> Signup and view all the answers

<p>Regulations that registered representatives must follow for reporting responsibilities.</p> Signup and view all the answers

<p>Indicators suggesting potential money laundering or improper activities.</p> Signup and view all the answers

<p>A document required to open a new client account.</p> Signup and view all the answers

<p>An account functioning like DAP, where securities are sold directly by clients.</p> Signup and view all the answers

<p>Accounts registered with the CRA including RRSPs and TFSAs.</p> Signup and view all the answers

<p>An account for employees or family members of a dealer member.</p> Signup and view all the answers

<p>The nature of the account relationship and services for the client.</p> Signup and view all the answers

<p>A document showing each client's current holdings.</p> Signup and view all the answers

<p>An alphabetical list of all securities held by a firm's clients.</p> Signup and view all the answers

<p>Entities and individuals meeting specific requirements to purchase securities.</p> Signup and view all the answers

<p>A distribution of new securities with no guarantee of sales.</p> Signup and view all the answers

<p>A distribution where the dealer purchases securities for resale.</p> Signup and view all the answers

<p>Raise capital by collecting small amounts of funding from many investors.</p> Signup and view all the answers

<p>A signal issued prior to a takeover bid.</p> Signup and view all the answers

<p>Investment products that track an index and are traded on exchanges.</p> Signup and view all the answers

<p>A capital market segment with restricted participation based on specified criteria.</p> Signup and view all the answers

<p>The complete disclosure document for an offering of securities.</p> Signup and view all the answers

<p>The first issuance of a company's securities to the market.</p> Signup and view all the answers

<p>A customer with securities under management exceeding $10 million.</p> Signup and view all the answers

<p>When a company repurchases its own shares from the market.</p> Signup and view all the answers

<p>Fixed income securities guaranteeing the return of the initial investment.</p> Signup and view all the answers

<p>Securities offerings that are sold privately rather than through public markets.</p> Signup and view all the answers

<p>A legal document required for securities offerings.</p> Signup and view all the answers

<p>A preliminary prospectus indicating it is not final.</p> Signup and view all the answers