What federal legislation allows for the consolidation of commercial and investment banks, insurance companies, and securities firms?
ASK Assesment Quiz Study Guide

Quiz
•
English
•
9th - 12th Grade
•
Hard
Alana F
Used 1+ times
FREE Resource
50 questions
Show all answers
1.
MULTIPLE CHOICE QUESTION
30 sec • 1 pt
Community Reinvestment Act
Sarbanes-Oxley Act of 2002
Gramm-Leach-Bliley Act
Glass-Stegall Act
2.
MULTIPLE CHOICE QUESTION
30 sec • 1 pt
Which of the following quality management approaches is often used in the finance industry to sustain regulatory compliance
Six Stigma
Crisis management
Just-in-Time
Nothing
Answer explanation
They have benefits like increase revenue and can help aspiring or current managers take their careers to the next level
3.
MULTIPLE CHOICE QUESTION
30 sec • 1 pt
Which of the following mutual funds is most likely to be tax inefficient:
A fund with a low portfolio turnover rate
A fund that concentrates on a specialized sector
A fund with a high portfolio turnover rate
A fund that attempts to match a broad market index
4.
MULTIPLE CHOICE QUESTION
30 sec • 1 pt
In general, a governance, risk, and compliance (GRC) software system identifies and measures risk, monitors the risk-management system, routinely checks adherence to company-wide policies, and ensures compliance with
union demands
reporting
reporting requirements
demands
5.
MULTIPLE CHOICE QUESTION
30 sec • 1 pt
Before a financial planner can recommend an appropriate financial product to a client, s/he must
determine the needs of the clients
look at their goals
give advice
nothing, just jump straight into recommendations
6.
MULTIPLE CHOICE QUESTION
30 sec • 1 pt
What customer relationship management analytic would be most suitable for sorting clients based on how likely they are to repurchase a particular product?
monitoring
Customer segmentation
Profitability analysis
Account personalization
7.
MULTIPLE CHOICE QUESTION
30 sec • 1 pt
Finance companies raise capital by issuing notes and bonds
True
False
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