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American Bankers Association CRCM Exam - Topic 1 Question 29 Discussion

Which of the following advertising activities indicate that a bank would NOT be exempt from SEC registration requirements?
C) Mentioning in a print advertisement that the bank provides accommodation securities trades for its regular custodial accounts
A) Listing its securities transfer services as a service the bank provides for IRA accounts along with other IRA benefits
B) Listing its securities services for trust accounts in the bank's extensive trust services brochure
D) Stating in an advertisement concerning employee benefit plan services that the bank provides securities brokerage services for employee benefit plan accounts

American Bankers Association CRCM Exam - Topic 1 Question 29 Discussion

Actual exam question for American Bankers Association's CRCM exam
Question #: 29
Topic #: 1
[All CRCM Questions]

Which of the following advertising activities indicate that a bank would NOT be exempt from SEC registration requirements?

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Suggested Answer: C

by Lenna at May 05, 2022, 08:03 AM

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Lura
8 months ago
Option C is also a gray area, could be risky!
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Gracia
9 months ago
I thought all banks were exempt from SEC rules, this is surprising!
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Rory
9 months ago
Wait, are banks really exempt from SEC if they do other services?
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Lauran
9 months ago
Totally agree, D seems like a clear indicator.
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Melinda
9 months ago
I think option D is the one that requires SEC registration.
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Armanda
9 months ago
I think the answer is A. FederationIdentifier. That makes sense as the core piece of information needed to map the external user identity to the new portal user during JIT provisioning.
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Rhea
9 months ago
Okay, let me review the options and try to remember what I know about WebLogic clustering.
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Winifred
10 months ago
Tricky question... I'm thinking about muscle fatigue and what's safe for a 40-year-old woman who hasn't been active.
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Cordelia
10 months ago
Hmm, I'm a bit unsure about this one. The options seem pretty similar, so I'll have to think it through carefully. Maybe I should review my notes on the theory of constraints before answering.
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