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Which of the following serves only the best known and heavily traded securities

Which of the following serves only the best known and heavily traded securities?

a. NYSE

b. multiple regional exchanges

c. AMEX

d. NASAQ

142. Which of the following is a series of rules that stops trading on an exchange for a relatively short period of time?

a. program trading

b. market limits

c. stop orders

d. circuit breakers

143. A corporation is liable to pay to bondholders the

a. current interest rate in the bond market.

b. current yield on the particular bond.

c. coupon rate on the bond.

d. yield on the bond at maturity.

144. Which of the following acts required that financial derivatives be traded in established, regulated markets?

a. Glass-Steagall Banking Act

b. Gramm-Leach-Bliley Financial Services Modernization Act

c. Dodd-Frank Wall Street Reform and Consumer Protection Act

d. Celler-Kefauver Financial Reform Act

145. The most heavily traded American stocks are traded on the

a. New York Stock Exchange.

b. American Stock Exchange.

c. regional stock markets.

d. "third market."

146. Stock markets deal

a. almost exclusively in newly issued stocks.

b. in previously issued stocks.

c. in both newly issued and previously issued stocks, but they do not deal in bonds.

d. in large amounts of both newly issued and previously issued stocks and bonds.

147. New stock issues are typically handled by

a. commercial banks.

b. insurance companies.

c. investment banks.

d. stock exchanges.

148. If stock exchanges did not exist,

a. the risk to the investor of buying stocks would be much greater.

b. the economy's resources could be more efficiently allocated among firms.

c. there would be no organized way for firms to issue stock.

d. investment banks would no longer play a role in handling stocks.

149. Securities markets perform a valuable economic function because they provide

a. an opportunity for investors to make money in a short time.

b. the principal indicator of the performance of the U.S. economy.

c. an easy way to transfer corporate securities, thereby reducing risk to investors.

d. assurance that stock purchasers can get back the purchase price of their stock.

150. A "specialist" is a

a. stockholder who finds buyers and sellers for specific stocks, but also operates outside of specific stock markets.

b. person who works on the floor of the New York Stock Exchange and specializes in certain stocks.

c. stockbroker who operates only in a particular regional stock market.

d. stockbroker who specializes in the "third market."

Dec 16 2019 View more View Less

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