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Practice ICMA SOFQ Exam Questions

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  Total 50 Questions
Question No 1

Where Firm A has borrowed a fixed cash amount on a secured basis from Firm B, an increase in the collateral value means that:

Choose the Choices:

Firm A has exposure and must return some collateral to Firm B

FirmB has exposure and must request additional collateral from Firm A

Firm B has exposure and must request the return of collateral from Firm A

Firm A has exposure and must request the return of some collateral from Firm B

D
Question No 2

Bond types that are traded at a deeply discounted price are:

Choose the Choices:

Floating rate notes

Zero coupon bonds

Convertible bonds and Exchangeable bonds

Fixed rate bonds

B
Question No 3

From the perspective of one party to a securities trade, Free of Payment settlement without risk means:

Choose the Choices:

Delivering an asset to the counterparty prior to receipt of the contra asset from the counterparty

Simultaneously exchanging securities and cash with the counterparty

Delivering an asset to the counterparty following successful exchange of trade confirmations

Receiving the counterparty's asset before instructing release of the contra asset

D
Question No 4

The type of organisation that specializes in deposit - taking and cash loans is known as a:

Choose the Choices:

Mutual fund

Commercial bank

Investment bank

Private bank

B
Question No 5

The integrity of internal books & records for securities is proven by ensuring:

Choose the Choices:

The total ownership position is equal to the sum of open and closed trades with counterparties

The total settled position is equal to the sum of open trades and trades with a future value date

The total ownership position is equal to the sum of the settled positions plus/minus open trades with counterparties

The total settled position is equal to the sum of open and closed trades with counterparties

C
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