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Question 1 of 10
1. Question
The Federal Deposit Insurance Corporation (FDIC) is a corporation of the U.S. federal government was established under the act of:
I. Glass-Steagall Act of 1933.
II. Glass-Steagall Act of 1934.
III. Glass-Steagall Act of 1936
IV. Glass-Steagall Act of 1940Correct
The Federal Deposit Insurance Corporation (FDIC) is a corporation of the U.S. federal government established by the Glass-Steagall Act of 1933.
Incorrect
The Federal Deposit Insurance Corporation (FDIC) is a corporation of the U.S. federal government established by the Glass-Steagall Act of 1933.
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Question 2 of 10
2. Question
Which of the following term refers to the prices dealers (or others) are willing to pay for particular security:
I. Asks
II. Firm quotes
III. Bids
IV. Subject offersCorrect
Bids are prices which dealers (or others) are willing to pay for particular security.
Incorrect
Bids are prices which dealers (or others) are willing to pay for particular security.
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Question 3 of 10
3. Question
Which of the following term refers to the prices dealers (or others) are willing to sell a particular security:
I. Bids
II. Asks
III. Subject offers
IV. Firm quotesCorrect
Asks are prices at which dealers (or others) are willing to sell a particular security.
Incorrect
Asks are prices at which dealers (or others) are willing to sell a particular security.
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Question 4 of 10
4. Question
Which of the following are the types of orders?
I. Buy orders
II. Short selling orders
III. Market orders
IV. Sell ordersCorrect
(i) Buy orders (ii) Short selling orders (iii) Market orders (iv) Sell orders
Incorrect
(i) Buy orders (ii) Short selling orders (iii) Market orders (iv) Sell orders
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Question 5 of 10
5. Question
Which of the following term refers to the order where the investor does not own a security, done with the assumption that the share can be purchased back at a lower price:
I. Stop orders
II. Market orders
III. Sell orders
IV. Limit ordersCorrect
Short selling orders are orders to sell a security which the investor does not own, done with the assumption that the share can be purchased back at a lower price.
Incorrect
Short selling orders are orders to sell a security which the investor does not own, done with the assumption that the share can be purchased back at a lower price.
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Question 6 of 10
6. Question
Which of the following order has no restrictions on the price on buying or selling a stock:
I. Stop orders
II. Market orders
III. Sell orders
IV. Order ticketCorrect
Market orders are plain and simple orders to buy or sell a stock, with no restrictions on the price.
Incorrect
Market orders are plain and simple orders to buy or sell a stock, with no restrictions on the price.
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Question 7 of 10
7. Question
An order ticket must include which of the following:
I. account number of the client
II. The execution price
III. The representative’s ID number
IV. Orders to purchase or sell a securityCorrect
(i) Account number of the client (ii) The execution price (iii) The representative’s ID number
Incorrect
(i) Account number of the client (ii) The execution price (iii) The representative’s ID number
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Question 8 of 10
8. Question
Which of the following thing(s) is(are) included in Customer confirmations?
I. The account number of the customer
II. The trade date
III. The CUSIP ID number
IV. The commission totalCorrect
(i) The account number of the customer (ii) The trade date (iii) The CUSIP ID number (iv) The commission total
Incorrect
(i) The account number of the customer (ii) The trade date (iii) The CUSIP ID number (iv) The commission total
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Question 9 of 10
9. Question
Which of the following bonds are not registered to particular individuals, but are as tradable and liquid as dollar bills, must be delivered with all the related unpaid coupons?
I. Bearer bonds
II. Registered bonds
III. Due bills
IV. Security certificateCorrect
Bearer bonds, which are not registered to particular individuals, but are as tradable and liquid as dollar bills, must be delivered with all the related unpaid coupons.
Incorrect
Bearer bonds, which are not registered to particular individuals, but are as tradable and liquid as dollar bills, must be delivered with all the related unpaid coupons.
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Question 10 of 10
10. Question
Which of the following term refers to the orders to buy or sell a security which will lose validity (expire) if the transaction is not made within the same day?
I. At-the-open orders
II. Fill or kill orders
III. Day orders
IV. GTC ordersCorrect
Day orders are orders to buy or sell a security which will lose validity (expire) if the transaction is not made within the same day.
Incorrect
Day orders are orders to buy or sell a security which will lose validity (expire) if the transaction is not made within the same day.