1. Today's futures markets are dominated by trading in _______ contracts.
Answer
Correct Answer:
Financial
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2. ____and global firms that make the financial markets function by generating revenue primarily using financial markets rather than labor is known as Wall Street?
Answer
Correct Answer:
Individuals
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3. The waiting Period time between the public filing of the Registration Statement with the _____and the effective date of the IPO?
Answer
Correct Answer:
SEC
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4. U.S. Securities and Exchange Commission (SEC) is an independent agency consisting of ____commissioners appointed by the president of the United States.?
Answer
Correct Answer:
Five
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5. Usually an investment bank advises the company throughout the____process, helping the company determine its value and its initial share price known as Underwriter?
Answer
Correct Answer:
IPO
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6. A Tombstone ad containing basic information about the offering: the amount and type of______, the underwriter, and the price?
Answer
Correct Answer:
Security
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7. ________Mortgages that allow borrowers to have initial lower payments that increased over time?
Answer
Correct Answer:
Subprime
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8. Road Show occurs during the waiting period when the company’s executives and underwriters travel around the United States to present the company to _____and institutional investors?
Answer
Correct Answer:
Investment banks
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9. A document that closes financial details about the company, such as risk factors, a business plan, and/or pending or threatened litigation is known as a prospectus ?
Answer
Correct Answer:
False
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10. A Private company that has only sold securities to early investors and they are offered on the public markets.?
Answer
Correct Answer:
False
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11. The _____ period of time between when the company decides to go public and when the registration statement is publicly filed with?
Answer
Correct Answer:
Both a and b
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12. Post-Effective Period is the time after the SEC declares the _______statement effective, allowing for the sales of securities through the company’s underwriters.
Answer
Correct Answer:
Registration
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13. _________has Controversial financing method that requires a borrower to pay a loan back with interest in one lump sum on her next payday?
Answer
Correct Answer:
Payday Loans
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14. An information failure where 3 parties to a transaction have greater material knowledge than the other party.?
Answer
Correct Answer:
False
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15. In ______the context of investing, borrowing money to invest with the objective of producing a higher level of return.?
Answer
Correct Answer:
Leveraging.
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16. Institutions created after _______by one or more nations to facilitate development and ensure financial stability?
Answer
Correct Answer:
World War II
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17. An 18-month economic downturn from 2007 to 2009 that the IMF concluded was the most severe recession since the Great Depression in the 1930s.
Answer
Correct Answer:
2007-2009
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18. The Global Financial System is a set of formal and informal agreements that are intended to promote economic stability and access to money for investment and _____venture financing.
Answer
Correct Answer:
New
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19. When the underwriter purchases all the issued securities at a negotiated price and then resells the shares to the public is known as ?
Answer
Correct Answer:
Firm Commitment Agreement
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20. _____Term used to refer to innovations in the financial and technology crossover space and typically refers to companies or services that use technology to provide financial services to businesses or consumers?
Answer
Correct Answer:
Fintech
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21. _______Sometimes called brokerage houses—firms that act on behalf of investors in buying and selling of securities?
Answer
Correct Answer:
Financial Firms
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22. Bubble term used by economists to describe a short-lasting deviation of the price of some assets from their fundamental value (e.g., housing bubble)?
Answer
Correct Answer:
False
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23. A best efforts contractual agreement that the underwriter has guaranteed the price for the securities but markets and sells the securities on behalf of the company for a commission.
Answer
Correct Answer:
False
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