Vendor: ICMA
Certifications: Securities Operations Foundation
Exam Name: Securities Operations Foundation Qualification (SOFQ)
Exam Code: SOFQ
Total Questions: 50 Q&As
Last Updated: Jun 20, 2022
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SOFQ Online Practice Questions and Answers
Within internal books and records, the recording of the trading book on a securities trade facilitates:
A. Reconciliation of settled positions, per trading book and per security - between the trading department and operations
B. Reconciliation of settled positions, per trading book and per security - between operations and the firm's custodian
C. Reconciliation of trading positions, per trading book and per security - between the firm's counterparty and the firm's custodian
D. Reconciliation of trading positions, per trading book and per security - between the trading department and operations
On a scale of 1,500,000 Microsoft Corporation shares at a price of USD 3.78 per share, the SEC Fee payable is::
A. USD 1.89
B. USD 18.90
C. USD 189.00
D. USD 1890.00
A S.W.I.FT. 'Bank Identifier Code' comprises::
A. A region code, a country code and a city code
B. A bank code, a country code and a location code
C. A continent code, a country code and a municipality code
D. A bank code, a continent code and a currency code
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