Bds exam 1 Study guides, Class notes & Summaries

BDS Exam 1 Questions & Answers 2024/2025 Entity supertype - ANSWERSGeneric entity type related to one or more entity subtypes, Contains common characteristics Entity subtype - ANSWERSContains unique characteristics of each entity subtype Specialization hierarchy - ANSWERSA hierarchy based on the top-down process of identifying lower-level, more specific entity SUBtypes from a higher-level entity SUPERtype; a SUBtype can only exist within the context of a SUPERtype What is a subtype...

BDS Exam 1 Questions & Answers 2024/2025 Complete Preference - ANSWERSYou can compare any two things; one of them is preferred to the other (or possibly indifferent) Preference - ANSWERSpsychological construct that can't be observed directly. A binary relation that compares options and indicates what people prefer what are choices? - ANSWERSobserved selection which reveal preferences. Key assumption of revealed preference theory - ANSWERSif you choose something over something else...

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...

CFA Level 1 - Fixed Income Exam Questions with Correct Answers Coupon Rate Floor - Answer-Minimum periodic coupon interest payment received by lender/security owner. Coupon Rate Collar - Answer-Simultaneous combination of both cap and floor. Regular Redemption - Answer-When bonds are redeemed under the call provisions specified in the bond indenture. Special Redemption - Answer-When bonds are redeemed to comply with a sinking fund provision or because of a property sale mandated by...

ALU 301 Exam study Guide |Questions with Complete Solutions Cells that can recognize altered surface molecules on mutated host cells add "foreign" and move to destroy the cell that carries them are: 1. complements 2. receptors 3. natural killers 4. mediators natural killers All of the following are common examples of autoimmune disease EXCEPT: 1. Hashimoto's thyroiditis 2. systemic lupus erythema toss 3. Grave's thyroid disease 4. poliomyelitis poliomyelitus Which of...

IACCP Final Exam Questions With Verified Answers Latest Updated 2024 (Graded A+) "Investment Adviser" person/firm compensated for engaging in business of (directly or indirectly) advising others on securities or the advisability of investing (or) who issues analysis/reports concerning securities - Answer- SEC vs Capital Gains Research Bureau basis of Fiduciary Rule, specifically Best Interest SEC Registration Required when 1) definition of "IA" is met (unless otherwise excepted from def...

IACCP Exam Sample Questions with Verified Answers 2023-2024 Graded A+. Investment Advisers are generally required to register in the state where they have a principal place of business and any states where they maintain de minimus (5 or more clients in that state with the exception of LA, NE, NH & TX which have their own de minimus) - Answer- When is State Adviser Registration generally required? The following are deemed a SINGLE CLIENT 1) a natural person, and: (i) any minor child; (ii) a...

The securities industry's primary regulatory body and created under what act? SEC, Securities Exchange Act of 1934 Function under the SEC's oversight and is accountable to the Commission for enforcing federal securities laws, as well as supervising securities practices within an assigned jurisdiction. Self Regulatory organizations (SRO) what are the largest SROs Financial Industry Regulation Authority (FINRA), Chicago Board Options Exchange (CBOE), Municipal Securities Rulemak...

2023 – 2024 Bloomberg Certification Core Exam Complete Questions & Answers (Solved) 100% Correct 1. Which Bloomberg Excel tool, wishing the RealTIme/Historical wizard, would you select to download historical weekly close data on a rolling basis of a security Answer: Historical End of Day 2. What function allows you to create custom news pages for the topics, regions and markets that are important to you? Answer: MYN <Go> 3. Where can you find important contact information and s...

SIE EXAM CHAPTER 1 - 12 QUESTIONS & Answers. 100% approved. Rated A securities act of 1933 - - governs new issuance in primary market - only raising activities of issuers - requires registration of securities to public Securities Exchange Act of 1934 - - governs trading markets for existing securities - registration requirements of bds, bd employees and exchanges investment company act 1940 - governs regulation mutual funds close ended funds unit investment trusts investmen...