2026 Securities Licensing Study Guides (SIE, Series 7 & Series 66) are now live
Official Practice ProblemFINRA Series 7 Blueprint: Function 2
← Prev Question (#1116)Next Question (#1118) →
Question #1117Function 2Fundamental

Joint Accounts: JTWROS vs. Tenancy in Common (TIC) Estate Rights

Two business partners open a joint brokerage account as Tenancy in Common (TIC) with a 60/40 ownership allocation. If the 60% owner dies, what happens to the deceased partner's share of the account?

Correct Choice: A

In a Tenancy in Common (TIC) account, ownership shares can be unequal (60/40). Upon death, the deceased owner's share passes to their ESTATE or named beneficiaries, NOT to the surviving co-tenant.

Complete Analysis & Legal Rationale

In contrast, in Joint Tenancy with Right of Survivorship (JTWROS), all owners have equal rights, and upon death, 100% of the assets automatically transfer to the SURVIVING co-owner, bypassing probate.

Distractor Autopsy (Why Other Options Are Traps)

FINRA exam writers design incorrect distractors using specific calculation mistakes and regulatory misconceptions. Review why each option succeeds or fails:

Choice ACorrect
Accurate Account Ownership Rule

In TIC, deceased owner's share passes to the estate, preserving fractional ownership.

Choice BIncorrect
JTWROS vs TIC Confusion

Describes Joint Tenancy with Right of Survivorship (JTWROS), not TIC.

Choice CIncorrect
Escheatment Confusion

Escheatment occurs only when there are no heirs or claimants after statutory abandonment periods.

Choice DIncorrect
Retirement Age Confusion

Age 59½ applies to retirement account penalties, not taxable joint accounts.

Regulatory Authority & Citations:
FINRAFINRA Rule 2090Know Your Customer - Account Ownership
Question #1115FundamentalUSA PATRIOT Act Customer Identification Program (CIP) Mandates

CIP requires obtaining 4 mandatory items prior to opening an account: (1) Full Legal Name; (2) Date ...

Question #1116FundamentalOFAC Screening and Terrorist Watchlist Compliance

OFAC (Office of Foreign Assets Control), a division of the U.S....

Question #1118FundamentalCustodial Accounts (UGMA/UTMA): Taxation, Margin Prohibition, and Irrevocability

Under UGMA/UTMA rules: (1) There can only be ONE custodian and ONE minor per account; (2) All gifts/...

Question #1119FundamentalCorporate Accounts: Corporate Charter vs. Corporate Resolution

The Corporate Resolution (certified by the Corporate Secretary) designates WHICH specific individual...

Ready to test all 125 questions under real FINRA exam timing?

Take our timed 3h 45m simulator with real-time pass/fail scoring at the 72% benchmark.

Launch Full 125-Question Mock Exam Simulator →