Market for equities Study guides, Revision notes & Summaries

The US debt market is larger than the US equity market? T/F - True All of the following are differentiating factors of fixed income securities versus equity securities except for: Fixed claim Higher priority on cash flows Tax deductibility by issuer Infinite Life - Infinite Life A bond's CUSIP is defined as: A) A unique nine digit number to identify individual bonds B) A number assigned by the SEC to all registered bond offerings - Only A is correct All of the following are difference...

Series 65 Exam questions Source Pass The Exam Which of the following risk is reduced through dollar cost averaging? A. Political B. Inflation C. Timing D. Market - CORRECT ANSWER Answer: C To avoid buying an investment at its all time high price buy some shares on a regular basis by putting in the same dollar amount each month, quarter, etc. If you put in $500 a month, you'll buy fewer shares when they are expensive and more shares when they are cheap. To which of the followi...

Regular Way Settlement for Equities correct answer: T + 2 The First Day that a Buyer Buys Stock Without a Dividend correct answer: Ex-Dividend date The Last Day a Buyer Can Buy Stock and Receive the Dividend correct answer: business day before the ex-date When Ex-Dividend Date Happens Relative to the Record Date for Regular Way Trades correct answer: 1 business day before Fixed Rate Equity Security that Responds to Market Conditions like a Bond correct answer: Preferred Stock ...

The US debt market is larger than the US equity market? T/F - True All of the following are differentiating factors of fixed income securities versus equity securities except for: Fixed claim Higher priority on cash flows Tax deductibility by issuer Infinite Life - Infinite Life A bond's CUSIP is defined as: A) A unique nine digit number to identify individual bonds B) A number assigned by the SEC to all registered bond offerings - Only A is correct All of the following are difference...

CAIA Practice Questions What assets are often characterized as traditional by some and alternatives by others in: hedge funds, private equity, and real assets - Hedge Funds: Liquid alternative mutual funds Private Equity: Closed-end funds with illiquid holdings Real Assets: Public real estate and public equities of corporations with performance dominated by stable positions in real assets 4 major methods of analysis that distinguish the analysis of alternative investments from trad...

The accelerated death benefit provision in a life insurance policy is also known as a(n): - ANSWER Living benefit. Under an individual health insurance policy, the time limit of certain defenses provision states that nonfraudulent misstatements first become incontestable two years: - ANSWER from the date that the policy was issued. ______ can be defined as "making an unfair comparison of two insurance policies". - ANSWER Misrepresentation. Which entity issues Medicare supplement insur...

IFSE - CIFC - Unit 5 Questions and Answers Graded A Mutual Funds Investments that hold a collection of different securities such as equities and bonds. Holdings Collectively, the securities in a mutual fund The 3 main investment objectives 1. Safety of Principal 2. Income 3. Growth Safety of Principal Strive to protect investors from losing any of their original investment. Investors expect to get back at a minimum the amount of money they put into the investment. Income Provide investors wi...

What assets are often chracterized as traditional by some and alternatives by others in: hedge funds, private equity, and real assets - ANSWER-Hedge Funds: Liquid alternative mutual funds Private Equity: Closed-end funds with illiquid holdings Real Assets: Public real estate and public equities of corporations with performance dominated by stable positions in real assets 4 major methods of analysis that distinguish the analysis of alternative investments from trad. investments - ANSWER-...

CQIB Study Cards Questions With 100% Correct Answers Which regulator makes and enforces rules which govern the capital adequacy of Australian Banks? -Answer-The Australian Prudential Regulation Authority - APRA What events occurred in the Banking Industry in 1800s and early 1900s? -Answer-First Bank in Australia was Bank of NSW, Established in 1817 Sydney. Discovery of gold in 1851 led to minting of Australia's own gold coins spurring development of Banking. Boom in Australian property ...

purpose of securities industry matching investors with money to issuers that need that money to finance issuer legal entity that sells securities in order to finance its operations (business, governments) ie. us treasury, us gov agencies, foreign governments, state and local governments, corps, banks methods issuers use to raise capital 1) issue debt securities (bonds) and 2) issues equity securities (stocks) debt securities publically traded loans = bonds, notes, or deb...