Dealers act as principals Study guides, Class notes & Summaries
Looking for the best study guides, study notes and summaries about Dealers act as principals? On this page you'll find 30 study documents about Dealers act as principals.
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The US Banking System 3rd Edition by Center for Financial Training - Test Bank
- Exam (elaborations) • 119 pages • 2023
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Name Clas Dat : s: e: 
CHAPTER 01—THE BUSINESS OF BANKING 
 1. A bank is a not-for-profit organization. a. 
b. 
True False 
False 
1 
BNKG.CFFT.3.LO: 1.1.1 - LO: 1.1.1 
ANSWER: 
POINTS: 
LEARNING OBJECTIVES: 
2. All federally chartered banks must be corporations. 
a. True 
ANSWER: 
POINTS: 
LEARNING OBJECTIVES: 
b. False True 
1 
BNKG.CFFT.3.LO: 1.1.1 - LO: 1.1.1 
3. Commercial banks offer their services only to businesses. 
ANSWER: 
POINTS: 
LEARNING OBJECTIVES: 
5. Issuing credit cards is ...
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SIE Exam Latest Updated Graded A
- Exam (elaborations) • 25 pages • 2023
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What type of risk is unique to a specific industry, business enterprise, or investment type? - ANSWER-Nonsystematic risk 
 
Under which of the following circumstances is an investor in a position to acquire stock? - ANSWER-Buy a call, sell a call (The holder of a call has the right to buy stock at the strike price if exercised. The seller of a put is obligated to buy stock at the strike price if exercised) 
 
Options- a premium - ANSWER-the cost of an option contract, expressed in dollars per sh...
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CFA Investment Foundations Mock Exam Questions and Answers pass Assurance
- Exam (elaborations) • 43 pages • 2022
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CFA Investment Foundations Mock Exam Questions and Answers pass Assurance ...
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CFA Investment Foundations Mock Exam Questions latest update.
- Exam (elaborations) • 31 pages • 2023
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CFA Investment Foundations Mock Exam Questions latest update 
 
 
 
 
 
 
 
 
 
Proprietary trading is most likely carried out by: 
 
dealers. 
brokers. 
settlement agents. - answers Dealers, 
Dealers act as principals, so they are deemed proprietary traders. Dealers trade on behalf of their own accounts and use their own capital to make markets. B is incorrect. Brokers arrange deals between the buyers and the sellers. They do not trade for their own accounts. C is incorrect. Settlement agents...
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Canadian Securities Course - Chapter 1 Questions With Complete Solutions.
- Exam (elaborations) • 5 pages • 2023
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Alternative trading systems - Privately owned computerized networks that match orders for 
securities outside of recognized exchange facilities. Also referred to as Proprietary Electonic Trading 
Systems 
Auction Market - Market in which securities are bought and sold by brokers acting as agents for 
their, clients, in contrast to a dealer market where trades are conducted over-the-counter. 
Canadian Securities exchange - Launched in 2003 as an alernative marketplace for trading equity 
securtie...
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CFA Investment Foundations Mock Exam Questions And Answers 2022/2023
- Exam (elaborations) • 32 pages • 2022
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Proprietary trading is most likely carried out by: 
 
dealers. 
brokers. 
settlement agents. - Answer- Dealers, 
Dealers act as principals, so they are deemed proprietary traders. Dealers trade on behalf of their own accounts and use their own capital to make markets. B is incorrect. Brokers arrange deals between the buyers and the sellers. They do not trade for their own accounts. C is incorrect. Settlement agents provide services to clear and settle deals after they have been negotiated. 
 
Q...
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Test Bank for Fundamentals of Corporate Finance 7th Canadian Edition Ross
- Exam (elaborations) • 110 pages • 2023
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Test Bank for Fundamentals of Corporate Finance 7th Canadian Edition Ross. When evaluating a project in which a firm might invest, the size but not the timing of the cash flows is 
important. 
True False 
2. In capital budgeting, the financial manager tries to identify investment opportunities that are worth more 
to the firm than they cost to acquire. 
True False 
3. Maximization of the current earnings of the firm is the main goal of the financial manager. 
True False 
4. The primary goal of a...
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SIE exam caril: complete study guide Qbank answered latest spring 2023.
- Summary • 25 pages • 2023
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SIE exam caril: complete study guide Q-bank answered latest spring 2023. 
 
What type of risk is unique to a specific industry, business enterprise, or investment type? - 
 
Under which of the following circumstances is an investor in a position to acquire stock? - 
 
Options- a premium - 
 
Options- strike price 
 
A customer believes that ABC's price will go up but does not have the money to buy 100 shares right now. How could the customer use options to profit from an increase in the sto...
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SIE Predictor exam caril. Review Questions & Answers. Latest version. 100% Accurate.
- Exam (elaborations) • 31 pages • 2023
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SIE Predictor exam caril. Review Questions & Answers. Latest version. 100% Accurate. 
 
 
What type of risk is unique to a specific industry, business enterprise, or investment type? - -Nonsystematic risk 
 
Under which of the following circumstances is an investor in a position to acquire stock? - -Buy a call, sell a call (The holder of a call has the right to buy stock at the strike price if exercised. The seller of a put is obligated to buy stock at the strike price if exercised) 
 
Options- ...
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SIE Exam Preview/Recap. 100% Coverage. Comprehensive, Guaranteed understanding.
- Exam (elaborations) • 168 pages • 2023
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SIE Exam Preview/Recap. 100% Coverage. Comprehensive, Guaranteed understanding. 
 
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 (...
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