Securities Chapter 1

Securities Chapter 1

Professional Development

24 Qs

quiz-placeholder

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Securities Chapter 1

Securities Chapter 1

Assessment

Quiz

Other

Professional Development

Hard

Created by

Kirk Anderson

Used 4+ times

FREE Resource

24 questions

Show all answers

1.

MULTIPLE CHOICE QUESTION

30 sec • 1 pt

True or False: Both stocks and bonds represent ownership in a corporation.

True

False. Bonds are debt instruments, while stock represent ownership interest in a corporation.

2.

MULTIPLE CHOICE QUESTION

30 sec • 1 pt

True or False: A hedge fun is an example of a client that may benefit from a prime-brokerage arrangement.

TRUE

FALSE

3.

FILL IN THE BLANK QUESTION

1 min • 1 pt

An RR's employer is referred to as a

4.

FILL IN THE BLANK QUESTION

1 min • 1 pt

In an ____________arrangement , a clearing firm doesn't have information on each individual customer of an introducing firm.

5.

FILL IN THE BLANK QUESTION

1 min • 1 pt

A ___________ ____________ is a type of advisor that provides advice either to a state, county , or city.

6.

FILL IN THE BLANK QUESTION

1 min • 1 pt

A __________ is any person that executes __________ transactions in securities for the account of others.

7.

FILL IN THE BLANK QUESTION

1 min • 1 pt

A BD that does not hold a customer's cash or securities is known as a ________________.

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