Grading SummaryThese
are the automatically computed results of your exam. Grades for essay
questions, and comments from your instructor, are in the “Details”
section below. Date Taken: Time Spent: Points Received:
Question
Type: # Of Questions: Multiple Choice 20
Grade
Details – All QuestionsQuestion 1. Question : Exchange traded funds are
Student
Answer: mutual funds that trade on the Big Board.
baskets
of securities that trade like a single stock.
index
funds that trade on the NYSE.
groups
of securities that trade only on regional exchanges.
Question
2. Question : Federal laws that control the sale of securities are called blue
sky laws.
Student
Answer: True
False
Question
3. Question : Margin trading will magnify losses on a percentage basis.
Student
Answer: True
False
Question
4. Question : When a person sells a common stock short, she or he is betting on
a price increase within a short period of time.
Student
Answer: True
False
Question
5. Question : The primary market for futures is the
Student
Answer: Kansas City Board of Trade.
New
York Mercantile Exchange.
Chicago
Board of Trade.
Chicago
Board Options Exchange.
Question
6. Question : Short selling requires the borrowing of securities.
Student
Answer: True
False
Question
7. Question : Which one of the following is a major disadvantage of margin
trading?
Student
Answer: reduction in potential diversification
reduction
in potential profits on a percentage basis
possibility
of magnified losses on a percentage basis
high
rate of interest charged on the loans
Question
8. Question : Jennifer expects the price of a stock to decrease over the next
month. Which one of the following strategies would allow Jennifer to earn a
profit if the expected decrease actually occurs?
Student
Answer: take a long position in the stock today
sell
the stock short today
buy
the stock on margin today
take a
long position in the stock one month from today
Question
9. Question : Options are contracts that guarantee the delivery of a specified
commodity or financial instrument at a specific future date at an agreed-upon
price.
Student
Answer: True
False
Question
10. Question : The financial markets are becoming more globally integrated.
Student
Answer: True
False
Question
11. Question : A company must observe a quiet period from the time it files a
registration statement with the SEC until at least one month after an IPO is
complete.
Student
Answer: True
False
Question
12. Question : The majority of bonds trade in the OTC market.
Student
Answer: True
False
Question
13. Question : The price an individual investor will pay to purchase a stock in
the OTC market is the
Student
Answer: spread.
ask
price.
bid
price.
broker
price.
Question
14. Question : Only U.S. corporations can list their stocks on the NYSE.
Student
Answer: True
False
Question
15. Question : The automated system for trading highly active OTC securities is
the
Student
Answer: Big Board.
Kansas
City Board.
Chicago
Board of Trade.
Nasdaq.
Question
16. Question : The Sarbanes-Oxley Act of 2002 focuses on
Student
Answer: insider trading.
IPOs.
accounting
and other public disclosures of information.
regulation
of the OTC markets.
Question
17. Question : Assume the foreign exchange rate for the euro was US $1.00 =
1.13 euro last month. This month, the exchange rate is US $1.00 = 1.09 euro.
This information indicates that over the past month the
Student
Answer: US dollar remained unchanged relative to the euro.
US
dollar appreciated relative to all foreign currencies.
euro
appreciated relative to the dollar.
euro
depreciated relative to the dollar.
Question
18. Question : It can be argued that an IPO was underpriced when the IPO produces
extraordinarily high rates of return on its first day of trading.
Student
Answer: True
False
Question
19. Question : Which one of the following statements about foreign investments
is true?
Student
Answer: In general, major foreign markets always tend to underperform the US
market.
Investing
in foreign markets may involve specific risks not encountered with domestic
securities. Investing in foreign markets will always produce higher returns
because of exchange rate fluctuations. Foreign markets include equity
securities only.
Question
20. Question : Margin trading requires the borrowing of securities.
Student
Answer: True
False
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