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SOFQ Exam Dumps - ICMA Securities Operations Foundation Questions and Answers

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Questions 4

The term 'SSI' stands for:

Options:

A.

Standing Settlement Instruction

B.

Standard Securities Instruction

C.

Settlement Standard Instruction

D.

Securities Standing Instruction

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Questions 5

FTM Levy is charged:

Options:

A.

On US equity trades -where the gross consideration is in excess of USD 10,000.00

B.

On UK equity trades where the gross consideration is GBP 10,000.00 and above

C.

On US equity trades where the gross consideration is USD 10,000.00 and below

D.

On UK equity trades where the gross consideration is in excess of GBP 10,000.00

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Questions 6

Within internal books and records, the recording of the trading book on a securities trade facilitates:

Options:

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

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Exam Code: SOFQ
Exam Name: Securities Operations Foundation Qualification (SOFQ)
Last Update: Dec 23, 2024
Questions: 50
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