Capital Markets Final Exam Questions & Answers 2023-24
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Capital Markets Final Exam Questions & Answers 2023-24
Stocks are a(n) ________ investment representing ________ of a business. - ANSWER-Select one:
a. direct; ownership Correct
b. direct; debt
c. indirect; ownership
d. indirect; debt
An exchange traded fund that invests in the stocks o...
Capital Markets Final Exam Questions & Answers 2023-24
Stocks are a(n) ________ investment representing ________ of a business. - ANSWER-Select one:
a. direct; ownership Correct
b. direct; debt
c. indirect; ownership
d. indirect; debt
An exchange traded fund that invests in the stocks of large corporations is an example of - ANSWER-
Select one:
a. direct investment.
b. indirect investment. Correct
c. derivative investment.
d. tangible investment.
Which of the following has declined in recent years? - ANSWER-Select one:
a. direct ownership of stock by individual investors Correct
b. the percentage of foreign stocks held in typical portfolios
c. institutional ownership of common stocks
d. the timeliness of information available to investors
Which of the following are true concerning institutional investors? I. Institutional investors are professionals who manage money for other people.
II. Banks, insurance companies and mutual funds are all institutional investors.
III. Institutional investors are individuals who invest indirectly through financial institutions.
IV. Institutional investors invest large sums of money. - ANSWER-Select one: a. I and II only
b. I, II and IV only Correct
c. II, III and IV only
d. I, II, III and IV
Which of the following is not
traded in the securities markets? - ANSWER-Select one:
a. stocks
b. bonds
c. derivatives d. real estate Correct
Which of the following is an example of a tangible asset? - ANSWER-Select one:
a. bonds
b. mutual funds
c. real estate Correct
d. stocks
Which one of the following would be the most liquid investment? - ANSWER-Select one:
a. stock
b. Series EE bond
c. money market mutual fund Correct
d. real estate
Investors seeking a diversified, professionally managed portfolio of securities can purchase shares of - ANSWER-Select one:
a. preferred stock.
b. convertible securities.
c. insurance policies. d. mutual funds. Correct
Sarah purchased a stock one year ago at a price of $32 a share. In the past year, she has received four quarterly dividends of $0.75 each. Today she sold the stock for $38 a share. Her capital gain per share is -
ANSWER-Select one:
a. $3.00.
b. $6.00. Correct
c. $(6.00).
d. $9.00.
A well-conceived investment policy statement will specify - ANSWER-Select one:
a. the investor's current age and economic situation.
b. the investor's preference for frequent or infrequent trading.
c. the types of investments the investor is willing to consider.
d. all of the above. Correct
The primary risk associated with a short-term investment is - ANSWER-Select one:
a. purchasing power risk. Correct
b. default risk.
c. interest rate risk.
d. economic risk.
Short-term investments I. provide liquidity.
II. fill an important part of most investment programs.
III. provide a high rate of return with low risk.
IV. provide resources for emergencies. - ANSWER-Select one:
a. I and IV only b. II and IV only
c. I, II and IV only Correct
d. I, II, III and IV
Which one of the following has the lowest level of risk? - ANSWER-Select one:
a. commercial paper
b. money market mutual fund account
c. banker's acceptance
d. U.S. Treasury bill Correct
A major function of investment banking firms is - ANSWER-Select one:
a. providing loans to investors.
b. providing financial planning services to wealthy individuals.
c. assisting businesses when they issue stocks and bonds. Correct
d. developing investment strategies to neutralize risk.
Stocks purchased in the secondary market are purchased - ANSWER-Select one:
a. directly from the issuing corporation.
b. from other investors. Correct
c. from small, little-known brokerages.
d. indirectly through financial institutions.
Stocks and bonds are traded in - ANSWER-Select one:
a. securities and exchange commissions.
b. money markets.
c. federal trade commissions.
d. capital markets. Correct
The primary market tends to be more active when - ANSWER-Select one:
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