when a person uses unpublicized information 2 make a profit

The Securities and Exchange Commission (SEC) was created by Congress to:

protect the public from fraud in the securities industry.

The New York Stock Exchange and NASDAQ are examples of:

the secondary securities market.

A dividend for a common stock:

is given if decided by the Board of Directors.

A preferred stock contains the following characteristic(s):

a set dividend that is consistent for many years.

is the worth of one piece of the mutual fund.

an investor is getting more stocks for every share they have

The main function of an investment banker is to:

underwrite the company's funds & sell the initial shares.

provides ownership in the company.

Buying on the margin means:

the broker lends you money for part of the investment.

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Securities

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Stock, bonds, etc...

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Questions 15

Answers

1
Insider trading is:
the same as public disclosure.
a problem that never occurs in the market.
when a company informs everyone of unpublicized events.
when a person uses unpublicized information 2 make a profit
2
An IPO:
is the initial public offering.
can only occur once for each stock.
has occurred for all stocks listed in the stock exchange.
All of above.
3
The Securities and Exchange Commission (SEC) was created by Congress to:
None of the above.
track and monitor the progress of 500 stocks.
protect the public from fraud in the securities industry.
link all the exchanges using computerized trading.
4
A ____________ carries a fixed rate of interest and will eventually reach a point of maturity.
preferred stock
common stock
mutual fund
bond
5
The New York Stock Exchange and NASDAQ are examples of:
None of the above.
the primary securities market.
the secondary securities market.
the government agencies that regulate the market.
6
A dividend for a common stock:
is equal to the earnings per share of a stock.
is given if decided by the Board of Directors.
is never given.
is always given for every company.
7
A preferred stock contains the following characteristic(s):
a set dividend that is consistent for many years.
it is the last security to receive $ back in a liquidation.
it always provides voting rights.
None of the above.
8
When a stock is rising, it is referred to as a:
bull market.
bear market.
9
The NAV
is an index.
is the worth of one piece of the mutual fund.
is the negative assessment vision given by a broker.
None of the above.
10
A stock split means
a stock is being combined with another company.
an investor is getting more stocks for every share they have
None of the above.
a company has gone bankrupt.
11
The main function of an investment banker is to:
underwrite the company's funds & sell the initial shares.
buy stocks at the secondary market.
protect the investment of the stockholders.
buy bonds in the secondary market.
12
A common stock
None of the above.
is only traded on the New York Stock Exchange.
offers a fixed dividend that is set for many years.
provides ownership in the company.
13
The Big Board is a nickname for:
NASDAQ
New York Stock Exchange
Dow Jones Industrial Average
Standard and Poor 500
14
Buying on the margin means:
you are lent the stock and you will return it later.
the broker lends you money for part of the investment.
you must pay up at the end of the day no matter what.
you can only buy in round lots.
15
This person is on the floor of the exchange in order to maintain an orderly market:
Exchange master
commission broker
specialist
Floorbroker

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