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Question 1 of 10
1. Question
Which service(s) is (are) used to facilitate automated trade reporting and reconciliation, specifically for trades which are not made on an exchange?
I. Electronic Municipal Market Access
II. Trade Reporting Facility
III. MIG-1 ratings
IV. Corporate profitsCorrect
A Trade Reporting Facility (TRF) is a service used to facilitate automated trade reporting and reconciliation, specifically for trades which are not made on an exchange.
Incorrect
A Trade Reporting Facility (TRF) is a service used to facilitate automated trade reporting and reconciliation, specifically for trades which are not made on an exchange.
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Question 2 of 10
2. Question
Which of the following is an online source of information for municipal bonds?
I. MIG-1 ratings
II. Corporate profits
III. Investment risk
IV. Electronic Municipal Market AccessCorrect
Electronic Municipal Market Access (EMMA) is an online source of information for municipal bonds.
Incorrect
Electronic Municipal Market Access (EMMA) is an online source of information for municipal bonds.
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Question 3 of 10
3. Question
Which of the following statement is true for Call risk?
I. Risk of causing the bondholder to lose the stream of interest payments left until maturity
II. Risk of losing all the capital one has invested, particularly for options and warrants.
III. Risk for a creditor that principal and interest on a loan.
IV. Risk that investments will be harmed through changes in currency exchange rates.Correct
Call risk is the chance that a callable bond will be called, causing the bondholder to lose the stream of interest payments left until maturity.
Incorrect
Call risk is the chance that a callable bond will be called, causing the bondholder to lose the stream of interest payments left until maturity.
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Question 4 of 10
4. Question
The risk of losing all the capital one has invested, particularly for options and warrants is known as:
I. Credit risk
II. Currency risk
III. Capital risk
IV. Inflationary riskCorrect
Capital risk is the risk of losing all the capital one has invested, particularly for options and warrants.
Incorrect
Capital risk is the risk of losing all the capital one has invested, particularly for options and warrants.
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Question 5 of 10
5. Question
Which of the following statement is false for Interest rate risk?
I. Risk that investments will be harmed through fluctuations in interest rates.
II. Risk that an investor will not be able to liquidate his assets when he wishes
III. Risk particularly affects bond and mortgage holders.
IV. Risk intrinsic to the market taken as a whole or to a market segment.Correct
(i) risk that an investor will not be able to liquidate his assets when he wishes (ii) Risk intrinsic to the market taken as a whole or to a market segment.
Incorrect
(i) risk that an investor will not be able to liquidate his assets when he wishes (ii) Risk intrinsic to the market taken as a whole or to a market segment.
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Question 6 of 10
6. Question
Which of the following risk refers to the investments that could be harmed through some political events or unrest, whether domestically or abroad:
I. Prepayment risk
II. Prepayment risk
III. Political or legislative risk
IV. Systematic market riskCorrect
Political or legislative risk is the risk that investments could be harmed through some political events or unrest, whether domestically or abroad.
Incorrect
Political or legislative risk is the risk that investments could be harmed through some political events or unrest, whether domestically or abroad.
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Question 7 of 10
7. Question
If an investor makes some transaction at the wrong, failing to minimize his losses or maximize his gains then the risk is termed as:
I. Reinvestment risk
II. Prepayment risk
III. Inflationary risk
IV. Timing riskCorrect
Timing risk is simply the risk that an investor might make some transaction at the wrong, failing to minimize his losses or maximize his gains.
Incorrect
Timing risk is simply the risk that an investor might make some transaction at the wrong, failing to minimize his losses or maximize his gains.
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Question 8 of 10
8. Question
The portion of the company’s profit that is returned to shareholders refers to which of the following:
I. Dividend
II. Interest
III. Capital gain
IV. Capital lossCorrect
A dividend is a portion of the company’s profit that is returned to shareholders
Incorrect
A dividend is a portion of the company’s profit that is returned to shareholders
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Question 9 of 10
9. Question
Which type of bond(s) provide tax-exempted interest:
I. Corporate Bonds
II. Municipal bonds
III. Convertible Bonds
IV. Term BondsCorrect
Municipal bonds provide tax-exempted interest.
Incorrect
Municipal bonds provide tax-exempted interest.
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Question 10 of 10
10. Question
These documents are disclosures provided by issuers of securities providing specific and detailed financial information concerning both the issuer and the offering itself?
I. Red herrings
II. Prospectuses
III. Material events
IV. Offering documentsCorrect
Offering documents are disclosures provided by issuers of securities providing specific and detailed financial information concerning both the issuer and the offering itself.
Incorrect
Offering documents are disclosures provided by issuers of securities providing specific and detailed financial information concerning both the issuer and the offering itself.