EQUITY SECURITIES UPDATED ACTUAL EXAM QUESTIONS CORRECT ANSWERS GRADED A

EQUITY SECURITIES UPDATED ACTUAL EXAM QUESTIONS CORRECT ANSWERS GRADED A
PLUS




Question:
Issuer.

Answer:
Entity that creates and sells securities to raise capital



Question:
Primary market.

Answer:
Market where securities are sold for the first time (IPO, new issues)



Question:
Secondary market.

Answer:
Market where existing securities are traded between investors



Question:
Public offering.

Answer:
Sale of securities to the general public



Question:
Private placement.

, Answer:
Sale of securities to a limited number of qualified investors



Question:
Underwriter.

Answer:
Investment bank that helps issue and distribute new securities



Question:
Broker-dealer (BD).

Answer:
Firm in the business of buying and selling securities for clients or its own account



Question:
Common stock.

Answer:
Equity security representing ownership in a corporation



Question:
Shareholder.

Answer:
Owner of common stock



Question:
Voting rights.

Answer: