Accounts & CustomersPregunta 79 de 125
A customer's investment objective of 'capital preservation' would best be served by recommending:
a.High-quality short-term debt instruments and money market securities
b.Speculative small-cap growth stocks
c.Uncovered option writing
d.Highly leveraged limited partnerships
Explicación
A capital preservation objective prioritizes protecting principal over growth, favoring high-quality, short-term, liquid instruments such as Treasury bills and money market securities. Speculative equities and leveraged or uncovered option strategies carry too much risk of loss for this objective.
Practica las 125 preguntas gratis — sin registro.
Preguntas relacionadas de este tema
- A 529 college savings plan offers which key tax advantage?
- When a customer opens a new account, the registered representative is generally required to:
- In a margin account, the credit agreement, hypothecation agreement, and (optionally) the loan consent form together permit the firm to:
- A pattern day trader is generally required to maintain minimum equity in a margin account of at least:
- A required minimum distribution (RMD) from a traditional IRA generally must begin:
- A customer with a long-term retirement horizon and a growth objective, comfortable with volatility, would most suitably be recommended:
Última revisión: · proceso editorial
Equipo Editorial de PrepPass · Verificado con FINRA Series 7 General Securities Representative Exam · Cómo revisamos