Exam

Question 1

From individuals with funds to invest

Answer 1

Transfer of funds

Question 2

Brings together investor

Answer 2

Investment banker

Question 3

First sale of common stock

Answer 3

Initial public offering

Question 4

Purchase of an issue of new securities

Answer 4

Initial public offering

Question 5

Purchase of an issue of new securities

Answer 5

Underwriting

Question 6

Makes an agreement to sell

Answer 6

Originating house

Question 7

Selling group form

Answer 7

Syndicate

Question 8

Contract with an investment

Answer 8

Best effort agreement

Question 9

Maintain the offer price

Answer 9

Pricing a new issue

Question 10

Propose issue of new securities

Answer 10

Shelf registration

Question 11

Non-public sale of securities

Answer 11

Private placement

Question 12

Federal security laws

Answer 12

Full disclosure laws

Question 13

Annual report filled with the SEC

Answer 13

10K report

Question 14

Federal agency

Answer 14

Securities investor protection corporation

Question 15

Creation of the public company accounting

Answer 15

Sarbanes oxley act of 2002

Question 16

Enforce the federal security laws

Answer 16

Securities and exchange commission

Question 17

Process of filing information with SEC

Answer 17

Registration

Question 18

Establish in Britain during 1860

Answer 18

Investment companies

Question 19

Fixed number of a outstanding share

Answer 19

Close end investment company

Question 20

Mutual fund that uses new shares

Answer 20

Open end investment company

Question 21

Issue and redeem

Answer 21

Mutual fund

Question 22

Asset value of share

Answer 22

Need asset value

Question 23

Combination of all stock and debt

Answer 23

Close end investment company

Question 24

Less than the sahre net asset value

Answer 24

Discount

Question 25

Exceeds the sahre net asset value

Answer 25

Premium

Question 26

Does not charged a sales commission

Answer 26

No load fund

Question 27

Charge commission

Answer 27

Load fund

Question 28

Include foreign and US firms

Answer 28

Global fund

Question 29

Limited to none US security

Answer 29

International fund

Question 30

Specialize in the firms in the particular geographical area

Answer 30

Regional fund

Question 31

Portfolio seeks to the duplicate index of stock prices

Answer 31

Index fund

Question 32

Security prices adjust

Answer 32

Efficient capital market

Question 33

Fully reflect all security market information

Answer 33

Week form EMH

Question 34

Encompasses the week from hypothesis

Answer 34

Semi strong hypothesis

Question 35

Contents that stock prices fully reflect

Answer 35

Strong form EMH

Question 36

Sell over valued stock

Answer 36

Reduce training torn over

Question 37

Methods of accomplishing

Answer 37

Minimize taxes

Question 38

The integration of two elements

Answer 38

Fusion investing

Question 39

Anatomy mechanics and functioning

Answer 39

Neurofinance

Question 40

Individual behavior

Answer 40

Psychology

Question 41

Study how we behave

Answer 41

Social psychology

Question 42

Various psychological traits

Answer 42

Behavioral finance

Question 43

Ability of the funds to earn

Answer 43

Taxi efficiency

Question 44

Buying the shares of mutual fund

Answer 44

Taxation

Question 45

Offer to sell new shares

Answer 45

Loading charge

Question 46

Derived from the British

Answer 46

Red herring

Question 47

Manage the sale

Answer 47

Lead underwriters

Question 48

Indicates the number of share

Answer 48

Number of shares

Question 49

Stated the name of company

Answer 49

Stock symbol

Question 50

Indicate the highest price you are willing to buy

Answer 50

Price

Question 51

Most common order type

Answer 51

Other type based on price

Question 52

Trader’s have access

Answer 52

Order type based on expiration

Question 53

Person

Answer 53

Trader

Question 54

Company

Answer 54

Stock broker

Question 55

Research about stock

Answer 55

Financial analyst