Exam 3: Investment Information and Securities Transactions

The Dow Jones Industrial Average and the Standard & Poor's Industrial Index have a number of similarities and differences. Discuss at least two major similarities and major differences between these two market indicators.

In which of the following cases might an investor receive help from The Securities Investor Protection Corporation?

The tools and calculators available on the FINRA website are useful, but quite expensive to use.

A limit order is an order to buy at the limit price or less.

Which of the following is required by the Investment Advisers Act to disclose their background and any conflicts of interest?

An informal, voluntary agreement to solve disputes between an investor and his/her broker by utilizing a person to facilitate negotiations between the two parties is called

The Dow Jones Industrial Average (DJIA) is based on the prices of

The FD in Regulation FD refers to

McDonald's stock is now selling for $190 per share. Kim wants to buy 100 shares but only if she can do so at $180 or less. She should place a(n)

Market orders are usually executed

Describe several appropriate uses of stop-loss orders.

Mike bought 200 shares of EG stock two years ago at $16 per share. The stock has traded in a range of $21 to $44 a share over the past year. EG is now selling for $43.60 a share. EG announces its earnings today and Mike feels the stock could go to $60 on good news or fall to $30 on bad. To protect his profits, the most appropriate order for him to place is

Which of the following designations does NOT have formal education and testing requirements?

Unless the investor has requested another arrangement, cash from dividends and the sale of stock is normally

Heather places an order to buy 525 shares of stock. This is an order for

A "pump and dump" scheme involves buying shares of stock, hyping that stock via the Internet and then quickly selling the shares at a profit.

Which one of the following statements concerning stock trades is correct?

Recommendations of "strong buy, buy, hold, reduce, sell" are most likely to be found in

The Securities Investor Protection Corporation insures individual investors against

Which one of the following statements is correct?