Question 1

Another name for stockbrokers is:

Accepted Answer

A)  specialists. 
B)  financial advisors. 
C)  security analysts. 
D)  portfolio managers. 
A)  specialists. 
B)  financial advisors. 
C)  security analysts. 
D)  portfolio managers.

Question 2

Many Wall Street jobs tend to be cyclical in nature.

Accepted Answer

A) True 
 B)False

Question 3

What are some of the reasons driving so many individual investors to manage their own investments today versus the conventional route of investing through a financial advisor or stockbroker?

Accepted Answer

The emergence of the Internet has produc

Question 4

Most professionally-managed stock portfolios are able to outperform the overall market on a consistent basis.

Accepted Answer

A) True 
 B)False

Question 5

Briefly explain the difference between expected returns and realized returns and between ex ante returns and ex post returns.

Accepted Answer

Expected returns are mean returns based

Question 6

Which of the following securities should have the highest expected return?

Accepted Answer

A)  Corporate bonds 
B)  Large firm stocks 
C)  Small firm stocks 
D)  Private equity 
A)  Corporate bonds 
B)  Large firm stocks 
C)  Small firm stocks 
D)  Private equity

Question 7

In investments, AUM stands for:

Accepted Answer

A)  automatic unit multiplier. 
B)  annual unit multiplier. 
C)  assets under management. 
D)  active united manager. 
A)  automatic unit multiplier. 
B)  annual unit multiplier. 
C)  assets under management. 
D)  active united manager.

Question 8

A Chartered Financial Analyst designation is a(n)

Accepted Answer

A)  SEC-approved and awarded designation. 
B)  certification of a successful investing record. 
C)  professional designation awarded for meeting recognized standards of conduct and competency. 
D)  professional designation awarded by the brokerage industry. 
A)  SEC-approved and awarded designation. 
B)  certification of a successful investing record. 
C)  professional designation awarded for meeting recognized standards of conduct and competency. 
D)  professional designation awarded by the brokerage industry.

Question 9

Financial planners must pass a standardized test and possess certain credentials.

Accepted Answer

A) True 
 B)False

Question 10

Investment decision making traditionally consists of two steps:

Accepted Answer

A)  investment banking and security analysis. 
B)  buying and selling. 
C)  risk and expected return. 
D)  security analysis and portfolio management. 
A)  investment banking and security analysis. 
B)  buying and selling. 
C)  risk and expected return. 
D)  security analysis and portfolio management.

Question 11

Which of the following statements is true regarding multi-national corporations?

Accepted Answer

A)  Exxon Mobil earns the majority of its profits from its overseas operations. 
B)  Google currently derives the majority of its earnings from outside the U.S. 
C)  Wal-Mart earns the majority of its profits from outside the U.S. 
D)  Coca-Cola has no overseas operations and no earnings outside the U.S. 
A)  Exxon Mobil earns the majority of its profits from its overseas operations. 
B)  Google currently derives the majority of its earnings from outside the U.S. 
C)  Wal-Mart earns the majority of its profits from outside the U.S. 
D)  Coca-Cola has no overseas operations and no earnings outside the U.S.

Another name for stockbrokers is:

Many Wall Street jobs tend to be cyclical in nature.

What are some of the reasons driving so many individual investors to manage their own investments today versus the conventional route of investing through a financial advisor or stockbroker?

Most professionally-managed stock portfolios are able to outperform the overall market on a consistent basis.

Briefly explain the difference between expected returns and realized returns and between ex ante returns and ex post returns.

Which of the following securities should have the highest expected return?

In investments, AUM stands for:

A Chartered Financial Analyst designation is a(n)

Financial planners must pass a standardized test and possess certain credentials.

Investment decision making traditionally consists of two steps:

Which of the following statements is true regarding multi-national corporations?

Investment Alternatives

Indirect Investing

Securities Markets and Market Indexes

How Securities Are Traded

The Risk and Return From Investing

Portfolio Theory

Portfolio Selection and Asset Allocation

Capital Market Theory and Asset Pricing Models

Common Stock Valuation

Common Stocks: Analysis and Strategy

Market Efficiency

Economymarket Analysis

Sectorindustry Analysis

Company Analysis

Technical Analysis

Bond Yields and Prices

Bonds: Analysis and Strategy

Options

Futures Contracts

Managing Your Financial Assets

Evaluation of Investment Performance

Filters

Exam 1: Understanding Investments

Another name for stockbrokers is:

Many Wall Street jobs tend to be cyclical in nature.

What are some of the reasons driving so many individual investors to manage their own investments today versus the conventional route of investing through a financial advisor or stockbroker?

Most professionally-managed stock portfolios are able to outperform the overall market on a consistent basis.

Briefly explain the difference between expected returns and realized returns and between ex ante returns and ex post returns.

Which of the following securities should have the highest expected return?

In investments, AUM stands for:

A Chartered Financial Analyst designation is a(n)

Financial planners must pass a standardized test and possess certain credentials.

Investment decision making traditionally consists of two steps:

Which of the following statements is true regarding multi-national corporations?

Investment Alternatives

Indirect Investing

Securities Markets and Market Indexes

How Securities Are Traded

The Risk and Return From Investing

Portfolio Theory

Portfolio Selection and Asset Allocation

Capital Market Theory and Asset Pricing Models

Common Stock Valuation

Common Stocks: Analysis and Strategy

Market Efficiency

Economymarket Analysis

Sectorindustry Analysis

Company Analysis

Technical Analysis

Bond Yields and Prices

Bonds: Analysis and Strategy

Options

Futures Contracts

Managing Your Financial Assets

Evaluation of Investment Performance

Filters