Types of issuers Study guides, Class notes & Summaries
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Achievable SIE Exam with 100% correct answers
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issuer 
an organization that distributes and sells securities to investors 
 
 
 
security 
legal term for investment (stocks, bonds, mutual funds, options, ETFs) 
 
 
 
equity 
formal term for ownership 
 
 
 
two ways to make money on common stock 
1. capital appreciation/gains 
2. cash dividends 
 
 
 
retained earnings 
profits retained by a company that are often used to expand and reinforce business operations, NOT paid by dividend 
 
 
 
growth companies 
direct profits back into operatio...
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C214 Financial Management Exam Questions and Answers
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C214 Financial Management Exam 
Questions and Answers 
Finance is a subfield with in - Answer- Economics 
Which of the following is not an example of firm capital? - Answer- Financial Markets 
Capital is defined as a - Answer- financial asset 
Corporate finance is devoted to understanding various types of - Answer- financial 
instruments 
Which of the following is an example of firm capital? - Answer- Cash 
Corporate finance focuses on the decision making by the - Answer- Management 
What are th...
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Indiana Navigator actual exam with 100% correct answers(latest update)
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Governing Bodies/Law 
Department of Health and Human Services 
Centers for Medicare and Medicaid Services 
H 
 
 
 
Types of federally-designated consumer assistants 
Federal Navigators 
State Navigators 
 
 
 
Conflicts of Interest 
Financial incentive 
Conflict of loyalty 
 
 
 
Can Indiana Navigators provide specific plan selection? 
No 
 
 
 
Hoosier Healthwise 
Covers; 
Pregnant women 
Children up to 19 years old 
 
 
 
Children's Health Insurance Program (CHIP) 
Created for children with ...
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CLF Exam Review Questions and answers, graded A+/[LATEST EXAM UPDATES]
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CLF Exam Review Questions and answers, graded A+/ 
syndicated loan - -A commercial loan provided by a group of lenders and structured, arranged, and 
administered by one or several commercial or investment banks known as arrangers 
- less expensive and more efficient to administer than traditional bilateral, or individual credit lines 
Leveraged Borrowers - --Issuers who are paying spreads (premium above LIBOR or another base 
rate) sufficient to attract nonbank term loan investors ; Typically...
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Intermediate Accounting I (Exam 1) Chapters 1-5 Questions with Verified Solutions
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Intermediate Accounting I (Exam 1) 
Chapters 1-5 Questions with Verified 
Solutions 
objective of financial reporting - answerprovide financial information about the reporting 
entity that is useful to present and potential equity investors, lenders, and other creditors 
general-purpose financial statements - answerprovide financial reporting information to a 
wide variety of users 
accrual basis accounting - answerensures that a company records events that change its 
financial statements in th...
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Audit 401 Exam 1|105 Questions with Verified Answers,100% CORRECT
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Audit 401 Exam 1|105 Questions with Verified Answers 
 
User Demand for Reliable Information - CORRECT ANSWER Users must have timely, relevant, and reliable information to minimize business risk and to take advantage of opportunities that arise. 
 
Business risk - CORRECT ANSWER the probability that the organization will not achieve the objective to make money 
 
Big Data needs for useful and reliable information - CORRECT ANSWER Complexity, remoteness, time sensitivity, consequences 
 
Informat...
![Fixed Income Securities Test 1 (Answered) Complete Solution](/docpics/4444344/65c3f00947fd5_4444344_121_171.jpeg)
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Fixed Income Securities Test 1 (Answered) Complete Solution
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Fixed Income Securities Test 1 (Answered) Complete Solution 
 
Fixed income securities can also be referred to as? 
debt securities and bonds 
a fixed income security is a __________ obligation 
debt 
What is the largest subset of financial markets? 
global fixed income markets 
global fixed income markets is the largest by what criteria? 
- number of shares 
- market capitalization 
In 2010 global fixed income markets were ____ times larger than global equity markets? 
3 
In fixed income market...
![Fixed Income Securities Test 1 (Answered) Complete Solution](/docpics/6388bc10750b6_2147510.jpg)
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Fixed Income Securities Test 1 (Answered) Complete Solution
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Fixed Income Securities Test 1 (Answered) Complete Solution 
 
Fixed income securities can also be referred to as? 
debt securities and bonds 
a fixed income security is a __________ obligation 
debt 
What is the largest subset of financial markets? 
global fixed income markets 
global fixed income markets is the largest by what criteria? 
- number of shares 
- market capitalization 
In 2010 global fixed income markets were ____ times larger than global equity markets? 
3 
In fixed income market...
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Series 6 FINRA Test Questions with Correct Answers
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Declaration Date - Set by the Board od Directors ( BOD) 
- Date dividend is decalred by BOD 
 
Record Date - (set by the BOD) 
- Owner of stock on Record Date entitled to dividend 
 
Payable Date - Set by the (BOD) 
- Date dividend is paid 
 
Ex-Dividend Date STOCKS 
- Set by Self Regulatory Organization (SRO) (FINRA) 
- Date that the Price of the stock is reduced by declared dividend 
( if the dividend is .50 the stock will trade below the .50) 
- 2 Business days before record date *** 
MUTUAL...
![WGU C214 Financial Management Fast and Furious questions and answers CORRECT!!!](/docpics/4360192/65b75795607ad_4360192_121_171.jpeg)
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WGU C214 Financial Management Fast and Furious questions and answers CORRECT!!!
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WGU C214 Financial Management Fast and Furious questions and answers CORRECT!!! 
 
 
T1 Primary financial markets - the markets in which securities (stocks and bonds) are first issued. This is where the issuers (the firms) and the buyers (the investors) will engage in an exchange. 
T1 Syndicate - When a company wants to issue stock, bonds, or other publicly traded securities, it hires an * underwriter * to manage what is often a long and complex process. 
After determining the offering str...
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