NO.100 What investment becomes liquid when securitized?

NO.101 Over the previous three calendar years, fund LMO had five drawdowns as follows:

What was the maximum drawdown during this time period?

NO.102 Which macroeconomic factors would have a positive impact on investor expectations and the price of securities?

NO.103 Which fee is paid to mutual fund sales representatives by the mutual fund manager?

NO.104 What is the main benefit of investing in preferred shares?

NO.105 What is a key characteristic of an actively managed product that might interest an investor?

NO.106 Anwar is placing a market order to purchase 100 shares of AJL when the bid/ask is $10.25.”$ 10.75. Before the trade is complete, the bid/ask moves to $10.207S1Q70. What is the share price that Anwar will pay on the purchase transaction?

NO.107 What is the most accurate feature of a Canada Education Savings Grant (CESG)?

NO.108 What is the primary difference between industry standards and industry ratios?

NO.109 A company has the following earnings per share figures: Year 1 (base period): $2.12; Year 2: $2.26; Year 3:
$2.42; Year 4: $2.56; and Year 5: $2.71. What is the trend ratio at the end of Year 3 for this company?

NO.110 The price of FMA common stock is set to break through its 200-day moving average line from below on heavy volume. How might a technical analyst interpret this information?

NO.111 Which type of commodity ETF is most suitable for an investor seeking to gain exposure to the spot price of a commodity?

NO.112 Which type of ETF could incur roll yield loss?

NO.113 The principle of retraction in retractable preferred shares is identical to what other security?

NO.114 For institutional trading, when does the investor need to provide trade-matching elements?

NO.115 Which asset type is classified as a fixed-income asset for portfolio management purposes?

NO.116 Max bought $7,000 of fund units. Two years later, the total value of his portfolio went up to $10,000 and he decided to sell the fund. Max had received a total of $1,000 in reinvested dividends over the course of the holding period. What is the adjusted cost base of his investment?

NO.117 After reviewing a client’s risk tolerance, time horizon and financial objectives. Andy recommends that a long- term asset mix of 55% equities, 40 bonds and 5% cash would be most appropriate for the client.
Which approach has Andy taken in his recommendation?

NO.118 In a multi-mandate managed account, who sets the overall optimal asset mix?

NO.119 During which step of the financial planning process should an engagement be formalized with a professional service contract?

NO.120 What do the returns on treasury bills often represent?

NO.121 A young couple is looking to buy a house in the near future with a down payment. What type of investment should they consider for their portfolio?

NO.122 When a futures contract is entered into, who sets the minimum initial margin rate?

NO.123 What is the likely outcome at the end of a five-year term of a rate-reset preferred share if the issuer does not redeem the shares?