FIN346 Chapter 5

FIN346 Chapter 5

University

20 Qs

quiz-placeholder

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FIN346 Chapter 5

FIN346 Chapter 5

Assessment

Quiz

Financial Education

University

Medium

Created by

MUHAMMAD NAWAWI

Used 4+ times

FREE Resource

20 questions

Show all answers

1.

MULTIPLE CHOICE QUESTION

30 sec • 1 pt

What is one of the main duties of a stock broking firm to its clients?

Compete with the client

Obey the client’s instructions

Act as principal without informing the client

Avoid issuing contract notes

2.

MULTIPLE CHOICE QUESTION

30 sec • 1 pt

Which type of client is NOT typically handled by stock broking firms?

Institutional clients

Foreign clients

Retail stores

Corporate clients

3.

MULTIPLE CHOICE QUESTION

30 sec • 1 pt

What is the primary role of the Dealing Department in a stock broking firm?

Preparing contract notes

Executing client transactions

Managing client trading limits

Overseeing the balance sheet

4.

MULTIPLE CHOICE QUESTION

30 sec • 1 pt

The Operations Department in a stock broking firm is responsible for what?

Issuing research reports

Managing trade settlements

Ensuring compliance with exchange policies

Analyzing client credit risk

5.

MULTIPLE CHOICE QUESTION

30 sec • 1 pt

What type of income does a commissioned CMSR receive?

Fixed monthly income

Hourly wages

Salary with benefits

Commission-based income

6.

MULTIPLE CHOICE QUESTION

30 sec • 1 pt

Which of the following is a restriction for CMSRs?

Engaging in foreign exchange trading

Managing fixed-income portfolios

Being a shareholder in a company that deals in securities

Writing reports for non-security businesses

7.

MULTIPLE CHOICE QUESTION

30 sec • 1 pt

A paid CMSR is typically stationed at which location?

Brokerage firms

Investment banks

Corporate offices

Stock exchange headquarters

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