Unit 1 Individual Securities-Equities
100
What is Adjustable rate
During times when interest rates are rising, which of the following preferred are likely to pay a higher annual dividend?

A)
Participating
B)
Callable
C)
Convertible
D)
Adjustable rate
200
What is 6 months
Restricted securities may not be sold until they have been held fully paid for

A)six months.
B)two years.
C)one month.
D)one year.
300
What is 1%
Under the provisions of Rule 144, what percentage of outstanding stock may a control person sell every 90 days?

A)3%
B)1%
C)6%
D)4%






SIE Study Group December 2021

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