Question: Question 5 1 pts Active safekeeping (custody services) offered by custodian banks involve which of the following? (select all that apply): Providing lending and limited

Question 5 1 pts "Active safekeeping" (custody services) offered by custodian

banks involve which of the following? (select all that apply): Providing lending

Question 5 1 pts "Active safekeeping" (custody services) offered by custodian banks involve which of the following? (select all that apply): Providing lending and limited financial advice Providing annual tax related information Providing clients with monthly statements of all holdings Alerting clients to pending corporate actions and acting on client instructions Crediting client accounts with dividends, interests and other types of income Question 6 1 pts In the United States, the equity markets are overseen by: the CFTC and NFA the SEC, by individual state securities commissions, and self-regulatory organizations, which are overseen by the SEC the Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board (MSRB) the National Association of Securities Dealers (NASD, now Financial Industry Regulatory Authority (FINRA)

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