Institutional firms - Study guides, Class notes & Summaries

Series 79 Knopman Marks deferred tax asset or liability? Acceleration of revenue for accounting purposes - correct answer Deferred tax liability Source or use of cash? Decrease in accrued liabilities - correct answer Use of Cash Source or use of cash? Improvement in net working capital - correct answer Use of cash Purpose of a Schedule 13F - correct answer A 13F is a quarterly filing by Institutional Investment managers to disclose long equity positions Disclosure document used to g...

Federal Program - ANSWER Medicare is a federal health insurance program. Part of the Social Security program, Medicare is run by the Centers for Medicare & Medicaid Services of the Department of Health and Human Services. Private firms contract with the federal government to handle the paperwork, review claims, and disburse claim payments. Medicare Part A - ANSWER Designed primarily to provide hospital insurance and to pay for certain other types of institutional care. Medicare Part B - AN...

order of events in IPO correct answers 1) Bake off 2) Win mandate 3) Sign Engagement Letter 4) File Registration Statement 5) Book build/marketing 6) Go effective (shares registered) 7) Confirm Allocations and distribute required rate of return correct answers Another name for the discount rate. Under Rule 144A, which of these investors would NOT be considered a qualified institutional buyer? correct answers A financial services firm with $130mm in assets. - QIB is defined as any ...

GMS 522 Final Exam Questions and Answers 100% Pass Internationalization - Answer- -defined as the process by which firms become more engaged in international markets. -the process involves varying degrees of financial and other resource commitments to foreign markets and of course, various degrees of risk Mode of Entry - Answer- central to the process of internationalization is the selection of an entry mode. These range from low commitment modes such as exporting high commitment modes s...

Corporate Finance - Answer-focuses on financial decision making by a firms management Investments - Answer-various types of financial instruments (stocks, bonds, etc) Banking or Financial Institutions - Answer-make money by paying depositors a smaller interest rate than the interest rate charged to borrowers Treasury Securities - Answer-generally bonds that are issued by the US government Corporate Bonds - Answer-firms borrowing from the public Stocks - Answer-a share of ownership...

Securities Industries Essentials Exam (SIE) – With Questions & Answers (100% Verified) Securities Industries Essentials Exam (SIE) – With Questions & Answers (100% Verified) Federal Deposit Insurance Corporation (FDIC) - ANSWER - Created during the great depression in response to bank failures. an independent agency of the US federal government that preserves public confidence in the banking system by insuring deposits. The FDIC guarantees what - ANSWER - $250,000 for each deposit o...

Internationalization - ANSWER--defined as the process by which firms become more engaged in international markets. -the process involves varying degrees of financial and other resource commitments to foreign markets and of course, various degrees of risk Mode of Entry - ANSWER-central to the process of internationalization is the selection of an entry mode. These range from low commitment modes such as exporting high commitment modes such as foreign direct investment Motivation - ANSWER-t...

A registered representative is preparing a PowerPoint slide presentation, to be delivered in a live seminar, for a group of invited institutional clients. To use the slides, they may have to be A) reviewed by a principal of the broker-dealer. B) submitted to the SEC for review and approval. C) submitted to both FINRA and the SEC for preuse approval. D) approved by FINRA in writing. correct answers A Communications material that is intended for use with institutional customers only need ...

Test Bank Business Marketing Management B2B, 11th Edition, Michael D. Hutt, Thomas W. Speh IM Part 3: Exam Questions: MC, TF, SA, Essay Chapter 1—A Business Marketing Perspective MULTIPLE CHOICE 1. The business market consists of the following three components: a. commercial enterprises, resellers, and government. b. manufacturers, institutions, and defense. c. manufacturers, service organizations, and government. d. commercial enterprises, service organizations, and government. e. commercial ...

What are the 4 kinds of profit firms? - Sole proprietorship, partnerships, Limited Liability Company, Corporation What does a non-profit firm do? - Provides goods and services but do not have the fundamental purpose of earning profits What type of firm is there the most of in the U.S.? - Sole Proprietorship What type of firm in the U.S. has the most total net income? - Corporation What does the Modigliani-Miller Theorem say? - The total value of a firm should not depend on its capital st...