QUESTION 9

1. Joanie is seeking an investment that will provide inflation protection with a low amount of risk. Which of the following securities is most suitable for Joanie?

   		a. Growth stocks.
   		b. Treasury Inflation Protected Securities (TIPS).
   		c. Mortgage-Backed Securities (MBSs).
   		d. Blue chip stocks.

QUESTION 10

1. Which of the following is(are) among the responsibilities of FINRA? (1) Educating investors. (2) Fostering market transparency. (3) Writing and enforcing rules governing the activities of all registered broker-dealer firms and registered brokers in the U.S. (4) Writing and enforcing rules governing the activities of all registered investment advisors.

   		a. 1 only.
   		b. 3 and 4.
   		c. 1, 2, and 3.
   		d. 1, 2, 3, and 4.