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

Securities Chapter 1

Quiz
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Other
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Professional Development
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Hard

Kirk Anderson
Used 4+ times
FREE Resource
24 questions
Show all answers
1.
MULTIPLE CHOICE QUESTION
30 sec • 1 pt
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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