SOFQ MCQs
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SOFQ Exam Questions
Securities Operations Foundation Qualification (SOFQ)
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A bond which permits the issuer to redeem the bond prior to its maturity date is known as a:
Demandable bond
Callable bond
Requestable bond
Askable bond
Within internal books and records, the recording of the trading book on a securities trade facilitates:
Reconciliation of settled positions, per trading book and per security - between the trading department and operations
Reconciliation of settled positions, per trading book and per security - between operations and the firm's custodian
Reconciliation of trading positions, per trading book and per security - between the firm's counterparty and the firm's custodian
Reconciliation of trading positions, per trading book and per security - between the trading department and operations
The divisors applicable to the calculation of bank interest are:
A. EUR = 360, USD = 360, GBP = 365 B. EUR = 365, USD = 360, GBP = 365 C. EUR = 365, USD = 365, GBP = 360 D. EUR = 360, USD = 365, GBP = 360
The market in which debt is issued over the long-term describes:
The money market
The foreign exchange market
The capital market
The equity market
The two choices for the settlement method utilised within a securities market are:
'Account Settlement1 and Tumbling Settlement'
Tumbling Settlement' and 'Continuing Settlement'
'Continuing Settlement 'and' Account Settlement'
'Rolling Settlement' and 'Account Settlement??
The date on which a securities trade is intended to settle is:
The actual settlement date
The contractual trade date
The value date
The trade date
The following are examples of money market instruments:
Zero coupon bonds and Floating-rate notes
Convertible bonds and Mortgage-Backed Securities
Fixed-rate bonds and Step-up bonds
Commercial Paper and Certificate of Deposit
Thefollowing is an inaccurate statement:
Warrants have a variable exercise price
Warrants are exercisable by the warrant holder
Warrants will expire if not exercised by the expiry date
Warrants are detachable from the original security
The type of organisation that provides securities underwriting services is known as a
Investment bank
Insurance company
Commercial bank
Pension fund
The Clearstream Group includes:
The ICSD 'Clearstream Banking Paris' and the NSCD 'Clearstream Banking Munich'
The ICSD 'Clearstream Banking Brussels' and the NCSD 'Clearstream Banking Berlin'
The ICSD 'Clearstream Banking Luxembourg' and the NSCD 'Clearstream Banking Frankfurt'
The ICSD 'Clearstream Banking Amsterdam' and the NSCD 'Clearstream Banking Luxembourg'
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