QUESTION 5

1. Winnie owns physical stock certificates that were destroyed in a house fire. Which of the following will handle the recovery and replacement of the certificates?

   		a. The transfer agent.
   		b. The CFO of the issuing corporation.
   		c. The underwriter.
   		d. The Financial Industry Regulatory Authority (FINRA).

QUESTION 6

1. Jethro would like to invest in a security that will provide a steady stream of monthly cash flows to supplement his retirement income. Which of the following is the most suitable investment for meeting Jethro's goal?

   		a. A mortgage backed security.
   		b. A revenue bond.
   		c. A technology stock.
   		d. A D-rated corporate bond.