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Stock broker: Quiz

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Question 1: A transaction on a stock exchange must be made between two members of the exchange — an ordinary person may not walk into the ________ (for example), and ask to trade stock.
Stock marketMarket trendAmerican Stock ExchangeNew York Stock Exchange

Question 2: And variable products such as a ________ contract or variable universal life insurance policy typically require the broker to also have one or another state insurance department licenses.
Annuity (US financial products)Annuity (European financial arrangements)Life annuityPension

Question 3: There are of many other types of traders within capital markets, for example trading within the ________.
Stock exchangeForeign exchange marketStock marketFutures contract

Question 4: While the term stockbroker is still in use, it is more commonly referred to as simply "broker", "registered rep" or simply "rep"-- shortened versions of the official ________ (pronounced "FIN-ra") designation "Registered Representative".
Municipal Securities Rulemaking BoardFinancial Industry Regulatory AuthorityU.S. Securities and Exchange CommissionChristopher Cox

Question 5: Roles similar to that of a stockbroker include investment advisor, and ________.
Personal financeDebtFinancial plannerFinancial adviser







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