CISI: SECURITIES EXAM LATEST
ANSWER ALL QUESTIONS IN THIS SECTION
QUESTION 1
What are the requirements to be admitted to the Official List in the UK?(4) -
ANSWERS--Minimum expected market capitalisation of £30m,
- Trading record of at least three years
- At least 10% of the company's shares must be in public hands
QUESTION 2
What are the requirements to be admitted to AIM in the UK?(4) - ANSWERS-
Must appoint a nominated adviser and a broker
QUESTION 3
What are the requirements to be admitted to The General Standard segment in the
Frankfurt Stock Exchange?(4) - ANSWERS-- Valid and audited securities
prospectus,
- A reporting history dating back at least three years,
- A probable total price value of at least €1.25 million,
- Free float of at least 25%
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, CISI: SECURITIES EXAM LATEST
QUESTION 4
How does a offer for sale and offer for subscription differ? (4) - ANSWERS-Offer
for subscription is where a company offers new shares to the public can subscribe
to these shares directly to the company whereas, offer for sale is when existing
share holders sell their shares to the public.
QUESTION 5
What is an OTF? (5) - ANSWERS-Organized Trading Facility, is a multilateral
system where multiple parties can come together to buy and sell financial
instruments such as stocks, bonds, and derivatives
QUESTION 6
What is an MTF?(5) - ANSWERS-Multilateral Trading Facility, is another type of
multilateral system where financial instruments are traded.
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PAGE
2
, CISI: SECURITIES EXAM LATEST
QUESTION 7
What is a dark pool?(5) - ANSWERS-A dark pool is a private venue where buyers
and sellers can trade financial instruments without disclosing their identities or the
details of the transactions. They are called "dark" because the trades are not visible
to the public.
QUESTION 8
What is a quote-driven system?(5) - ANSWERS-A quote-driven system is a
trading system where market makers provide quotes for buying and selling
securities, and traders can transact at the quoted prices.
QUESTION 9
What is an order-driven system?(5) - ANSWERS-An order-driven system is a
trading system where buy and sell orders from traders are matched by the system
to execute trades at the best available price.
QUESTION 10
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PAGE
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ANSWER ALL QUESTIONS IN THIS SECTION
QUESTION 1
What are the requirements to be admitted to the Official List in the UK?(4) -
ANSWERS--Minimum expected market capitalisation of £30m,
- Trading record of at least three years
- At least 10% of the company's shares must be in public hands
QUESTION 2
What are the requirements to be admitted to AIM in the UK?(4) - ANSWERS-
Must appoint a nominated adviser and a broker
QUESTION 3
What are the requirements to be admitted to The General Standard segment in the
Frankfurt Stock Exchange?(4) - ANSWERS-- Valid and audited securities
prospectus,
- A reporting history dating back at least three years,
- A probable total price value of at least €1.25 million,
- Free float of at least 25%
END OF
PAGE
1
, CISI: SECURITIES EXAM LATEST
QUESTION 4
How does a offer for sale and offer for subscription differ? (4) - ANSWERS-Offer
for subscription is where a company offers new shares to the public can subscribe
to these shares directly to the company whereas, offer for sale is when existing
share holders sell their shares to the public.
QUESTION 5
What is an OTF? (5) - ANSWERS-Organized Trading Facility, is a multilateral
system where multiple parties can come together to buy and sell financial
instruments such as stocks, bonds, and derivatives
QUESTION 6
What is an MTF?(5) - ANSWERS-Multilateral Trading Facility, is another type of
multilateral system where financial instruments are traded.
END OF
PAGE
2
, CISI: SECURITIES EXAM LATEST
QUESTION 7
What is a dark pool?(5) - ANSWERS-A dark pool is a private venue where buyers
and sellers can trade financial instruments without disclosing their identities or the
details of the transactions. They are called "dark" because the trades are not visible
to the public.
QUESTION 8
What is a quote-driven system?(5) - ANSWERS-A quote-driven system is a
trading system where market makers provide quotes for buying and selling
securities, and traders can transact at the quoted prices.
QUESTION 9
What is an order-driven system?(5) - ANSWERS-An order-driven system is a
trading system where buy and sell orders from traders are matched by the system
to execute trades at the best available price.
QUESTION 10
END OF
PAGE
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