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FINRA Requirements for the Use of Bond Mutual Fund Volatility Ratings

Instructions:

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question 1 of 3

FINRA Rule 2213 relates to _____.

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1. FINRA is a non-profit agency that _____.

2. Under FINRA Rule 2213, one of the disclosures a broker must make when communicating a bond mutual fund volatility rating is _____.

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About This Quiz & Worksheet

This easy to use resource will provide you with answers instantly so you can find gaps in your knowledge. With questions on FINRA and its rules relating to bond mutual fund volatility ratings, test yourself and see what you know.

Quiz & Worksheet Goals

You'll cover these topics:

  • The purpose of FINRA
  • FINRA Rule 2213
  • Disclosures brokers must make when communicating bond volatility ratings
  • Restrictions on discussing bond volatility ratings
  • What must be provided by the broker in related disclosures

Skills Practiced

These skills can be practiced with the quiz:

  • Making connections - use understanding of the concept of a bond mutual fund volatility rating
  • Information recall - access the knowledge you've gained regarding disclosures brokers must make to clients about mutual fund volatility ratings
  • Reading comprehension - ensure that you draw the most important information from the related FINRA requirements lesson

Additional Learning

Review the accompanying lesson to this quiz, FINRA Requirements for the Use of Bond Mutual Fund Volatility Ratings, which has information to help you learn more. The lesson covers the following topics:

  • Definition of volatility rating
  • Required disclosures
  • Prohibited uses of bond volatility ratings
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