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Question 1 of 10
1. Question
Identify the statement that is true about cultural risks.
Correct
Cultural risk addresses the ways in which a culture different than that of the United States views business, particularly their views on debt instruments.
Incorrect
Cultural risk addresses the ways in which a culture different than that of the United States views business, particularly their views on debt instruments.
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Question 2 of 10
2. Question
Which of the following best describes bond premium?
Correct
The term bond premium describes the amount over par value an investor is willing to pay for a bond.
Incorrect
The term bond premium describes the amount over par value an investor is willing to pay for a bond.
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Question 3 of 10
3. Question
In a decreasing interest rate environment, bonds that pay a higher coupon than the current rate are:
Correct
In a decreasing interest rate environment, bonds that pay a higher coupon than the current rate are in high demand.
Incorrect
In a decreasing interest rate environment, bonds that pay a higher coupon than the current rate are in high demand.
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Question 4 of 10
4. Question
Which of the following statements is false?
Correct
Buying bonds at a discount is the practice of investors paying less than par value for a bond. The reason a bond might be valued at less than par is in rising interest rate environments where bonds paying the old, lower rate of interest are not in demand. The lower outlay of capital in conjunction with the lower coupon helps investors to receive similar yield to the new bonds with higher rates of interest.
Incorrect
Buying bonds at a discount is the practice of investors paying less than par value for a bond. The reason a bond might be valued at less than par is in rising interest rate environments where bonds paying the old, lower rate of interest are not in demand. The lower outlay of capital in conjunction with the lower coupon helps investors to receive similar yield to the new bonds with higher rates of interest.
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Question 5 of 10
5. Question
Which of the following is false about zero coupon bonds?
Correct
Zero coupon bonds are bonds which sell at a discounted price because they do not pay interest. The bond is sold at less than face value but is repaid at face value when it reaches maturity.
Incorrect
Zero coupon bonds are bonds which sell at a discounted price because they do not pay interest. The bond is sold at less than face value but is repaid at face value when it reaches maturity.
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Question 6 of 10
6. Question
Securities can be registered in the USA through the following ways, except:
Correct
The registration of securities in compliance with the USA may be accomplished in a number of ways. The three ways securities may be registered under the USA are by notice filing, qualification, and coordination.
Incorrect
The registration of securities in compliance with the USA may be accomplished in a number of ways. The three ways securities may be registered under the USA are by notice filing, qualification, and coordination.
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Question 7 of 10
7. Question
Notice filing requires the following except:
Correct
Notice filing occurs when the issuer provides documents from the Securities Exchange Commission (SEC) filing to the administrator. It requires documents filed with their SEC registration statements, amendments thereto, a relevant valuation of the securities, and consent to service of process.
Incorrect
Notice filing occurs when the issuer provides documents from the Securities Exchange Commission (SEC) filing to the administrator. It requires documents filed with their SEC registration statements, amendments thereto, a relevant valuation of the securities, and consent to service of process.
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Question 8 of 10
8. Question
Registration by qualification occurs when the issuer submits to an application process that includes information regarding the following, except:
Correct
Registration by qualification occurs when the issuer submits to an application process that includes information regarding the business and the nature thereof, detailed financial statements of the issuer, type of security offered and how the proceeds will be used, submission of prospectus, and a copy of the security with an opinion of legality according to legal counsel.
Incorrect
Registration by qualification occurs when the issuer submits to an application process that includes information regarding the business and the nature thereof, detailed financial statements of the issuer, type of security offered and how the proceeds will be used, submission of prospectus, and a copy of the security with an opinion of legality according to legal counsel.
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Question 9 of 10
9. Question
The Uniform Securities Act defines security as:
Correct
The definition of security as outlined by the Uniform Securities Act is an investment of capital assets in a common enterprise with the anticipation of growing returns resulting mostly from the energies of a person separate from the investor.
Incorrect
The definition of security as outlined by the Uniform Securities Act is an investment of capital assets in a common enterprise with the anticipation of growing returns resulting mostly from the energies of a person separate from the investor.
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Question 10 of 10
10. Question
Which of the following best defines an issuer according to the Uniform Securities Act?
Correct
An issuer, as defined under the USA, is a person who issues or proposes the issue of a given security.
Incorrect
An issuer, as defined under the USA, is a person who issues or proposes the issue of a given security.