A) can be opened by any investor who wants to purchase securities by charging them to his/her credit card. B) allows an investor to borrow one hundred percent of the cost of the securities purchased. C) allows an investor to borrow a portion of the purchase price at a reasonable rate of interest. D) is permitted only in wrap accounts. A) can be opened by any investor who wants to purchase securities by charging them to his/her credit card. B) allows an investor to borrow one hundred percent of the cost of the securities purchased. C) allows an investor to borrow a portion of the purchase price at a reasonable rate of interest. D) is permitted only in wrap accounts.

Exam 3: Investment Information and Securities Transactions

Which of the following are advantages of investment clubs? I. Small investors can pool their money to build a portfolio. II. Members can share research responsibilities. III. Individual members may have different goals and tolerance levels for risk. IV. Investment clubs typically buy stocks for the long term rather than short term profits.

(Multiple Choice)

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Question 101

Which one of the following web sites does NOT offer bond ratings?

(Multiple Choice)

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Question 102

The Securities Investor Protection Corporation insures individual investors against

(Multiple Choice)

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Question 103

Investors are protected from market losses by the SIPC insurance offered by some full-service brokers.

(True/False)

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Question 104

Information that can be found on the Internet at no cost includes I. P/E ratios. II. recent news about a company. III. financial statements. IV. future earnings and stock prices.

(Multiple Choice)

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Question 105

Investing online is usually less expensive than traditional methods.

(True/False)

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Question 106

Three years ago, Emily bought 200 shares of HQ at $27.00 per share. HQ shares have risen to $57.50 per share. If the stock continues to rise, she wants to hold it, but she fears that the price could fall quickly and she will lose most of her profit. Which of the following decisions would be best?

(Multiple Choice)

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Question 107

Over-the-counter market activity is reflected in the

(Multiple Choice)

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Question 108

David opens a cash account with a brokerage firm. He buys 100 shares of GIA Co. stock at $30 a share. His broker charges a commission of $35. Which of the following statements concerning this transaction is correct?

(Multiple Choice)

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Question 109

You can utilize the Internet to develop financial plans and goals, analyze and select individual investments and organize your portfolio.

(True/False)

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Question 110

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

(Multiple Choice)

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Question 111

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

(Multiple Choice)

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Question 112

What is the advantage of charting the price of a security over a period of time?

(Essay)

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Question 113

Which one of the following can be considered a negative aspect of on-line investing?

(Multiple Choice)

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Question 114

Chemical Week and the Oil and Gas Journal are considered to be general business periodicals.

(True/False)

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Question 115

Descriptive information might include estimates of future demand for a company's products and future stock prices.

(True/False)

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Question 116

The Value Line Index is a value weighted index based on a small sample of the 1700 stocks covered by the Value Line investment reports.

(True/False)

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Question 117

On March 15, Marcos placed a good-'til-canceled order to buy 200 shares of ABC at $10 a share. ABC sold between $10.50 and $11.00 on that day. Over the following two months the stock price continued to rise and Marcos forgot about the order. After the markets closed on June 6, some bad news concerning ABC was released. The stock opened on June 7 at a price of $8.00 a share. Which one of the following statements is correct concerning Marcos' order?

(Multiple Choice)

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Question 118

The documents signed when a customer opens a brokerage account

(Multiple Choice)

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Question 119

A margin account

(Multiple Choice)

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Question 120

Showing 101 - 120 of 134

Which one of the following web sites does NOT offer bond ratings?

The Securities Investor Protection Corporation insures individual investors against

Investors are protected from market losses by the SIPC insurance offered by some full-service brokers.

Information that can be found on the Internet at no cost includes I. P/E ratios. II. recent news about a company. III. financial statements. IV. future earnings and stock prices.

Investing online is usually less expensive than traditional methods.

Three years ago, Emily bought 200 shares of HQ at $27.00 per share. HQ shares have risen to $57.50 per share. If the stock continues to rise, she wants to hold it, but she fears that the price could fall quickly and she will lose most of her profit. Which of the following decisions would be best?

Over-the-counter market activity is reflected in the

David opens a cash account with a brokerage firm. He buys 100 shares of GIA Co. stock at $30 a share. His broker charges a commission of $35. Which of the following statements concerning this transaction is correct?

You can utilize the Internet to develop financial plans and goals, analyze and select individual investments and organize your portfolio.

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

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

What is the advantage of charting the price of a security over a period of time?

Which one of the following can be considered a negative aspect of on-line investing?

Chemical Week and the Oil and Gas Journal are considered to be general business periodicals.

Descriptive information might include estimates of future demand for a company's products and future stock prices.

The Value Line Index is a value weighted index based on a small sample of the 1700 stocks covered by the Value Line investment reports.

The documents signed when a customer opens a brokerage account

A margin account

The Investment Environment

Securities Markets and Transactions

Return and Risk

Modern Portfolio Concepts

Common Stocks

Analyzing Common Stocks

Stock Valuation

Market Efficiency and Behavioral Finance

Fixed-Income Securities

Bond Valuation

Mutual Funds and Exchange-Traded Funds

Managing Your Own Portfolio

Options: Puts and Calls

Futures Markets and Securities

Filters