ICMA SOFQ Securities Operations Foundation Qualification (SOFQ) Online Training

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1. 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

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2. 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

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3. The divisors applicable to the calculation of bank interest are:

EUR = 360, USD = 360, GBP = 365

EUR = 365, USD = 360, GBP = 365

EUR = 365, USD = 365, GBP = 360

EUR = 360, USD = 365, GBP = 360

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4. 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

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5. 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’

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6. 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

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7. 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

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8. 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

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9. The type of organisation that provides securities underwriting services is known as a

Investment bank

Insurance company

Commercial bank

Pension fund

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10. 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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