Each of the below is a securities instrument under the USA except:

Consent to service of process is a requirement:

You’re an Agent with ABC brokerage firm. A long-time friend has come into possession of some hot information about a medical break-through at a publicly-trade pharma corporation, and it is reliable. You recommend the stock immediately to a considerable number of your clients. Has a violation occurred?

Which of the below constitutes a security according to the USA?

I.    Certification of participation in oil, gas, or mineral rights

II.   Voting trust certificate

III.  Subordinated debenture of a company in Chapter 11 receivership

IV.  Variable Whole Life Insurance Policy

Choose from the below instruments which are not defined by the USA as a security.

I.    Artwork

II.   Wine

III.  Wine warehouse receipt

IV.  Multi-level marketing scheme

Put and Call Options which trade daily on the Chicago Board Options Exchange:

When the Board of Directors of a mutual fund declares a quarterly cash dividend, there is a cut-off date set by the board which determines which fund shareholders are entitled to the dividend, referred to as the:

When a mutual fund salesperson encourages a client to purchase mutual fund shares just prior to a forthcoming dividend so as to benefit from that dividend income, this is:

An Administrator will reject or deny the registration of a security if:

I.    Consent to service of process does not accompany the filing

II.   A filing fee is absent

III.  There are omissions in the registration documents

IV.  The Issuer does not do business in this state

Generally speaking, when a transaction takes place in a customer’s account, a confirmation of that trade will be sent to the client and should be received by the: