FIN 320 Week 3 Quiz - Strayer



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Quiz 2 Chapter 3 and 4

Chapter 3: ___________________________________________________________________________
1.
Underwriting is one of the services provided by _____. 
 

A. 
the SEC

B. 
investment bankers

C. 
publicly traded companies

D. 
FDIC

2.
Under firm-commitment underwriting, the ______ assumes the full risk that the shares cannot be sold to the public at the stipulated offering price. 
 

A. 
red herring

B. 
issuing company

C. 
initial stockholder

D. 
underwriter

3.
Explicit costs of an IPO tend to be around ______ of the funds raised. 
 

A. 
1%

B. 
7%

C. 
15%

D. 
25%

4.
Barnegat Light sold 200,000 shares in an initial public offering. The underwriter's explicit fees were $90,000. The offering price for the shares was $35, but immediately upon issue, the share price jumped to $43. What is the best estimate of the total cost to Barnegat Light of the equity issue? 
 

A. 
$90,000

B. 
$1,290,000

C. 
$2,390,000

D. 
$1,690,000

5.
A red herring becomes a prospectus when ____. 
 

A. 
the preliminary registration statement is approved by the SEC

B. 
the IPO is complete

C. 
the offering is seasoned

D. 
the lockup period expires

6.
Private placements can be advantageous, compared to public issue, because:

I. Private placements are cheaper to market than public issues.
II. Private placements may still be sold to the general public under SEC Rule 144A.
III. Privately placed securities trade on secondary markets. 
 

A. 
I only

B. 
I and III only

C. 
II and III only

D. 
I, II, and III

7.
A level _____ subscriber to the NASDAQ system may enter bid and ask prices. 
 

A. 
1

B. 
2

C. 
3

D. 
4

8.
Which one of the following statements about IPOs is not true? 
 

A. 
IPOs generally underperform in the short run.

B. 
IPOs often provide very good initial returns to investors.

C. 
IPOs generally provide superior long-term performance as compared to other stocks.

D. 
Shares in IPOs are often primarily allocated to institutional investors.

9.
The margin requirement on a stock purchase is 25%. You fully use the margin allowed to purchase 100 shares of MSFT at $25. If the price drops to $22, what is your percentage loss? 
 

A. 
9%

B. 
15%

C. 
48%

D. 
57%

10.
The NYSE acquired the ECN _______, and NASDAQ recently acquired the ECN ________. 
 

A. 
Archipelago; Instinet

B. 
Instinet; Archipelago

C. 
Island; Instinet

D. 
LSE; Euronext

11.
Rank the following types of markets from least integrated and organized to most integrated and organized:

I. Brokered markets
II. Continuous auction markets
III. Dealer markets
IV. Direct search markets 
 

A. 
IV, II, I, III

B. 
I, III, IV, II

C. 
II, III, IV, I

D. 
IV, I, III, II

12.
As a result of flash crashes, the SEC is trying circuit breakers that will halt trading for 5 minutes if large stocks' prices change by more than _____ in a 5-minute period. 
 

A. 
10%

B. 
20%

C. 
30%

D. 
40%

13.
Which one of the following is not an example of a brokered market? 
 

A. 
Residential real estate market

B. 
Market for large block security transactions

C. 
Primary market for securities

D. 
NASDAQ


14.
More than ______ of all trading is believed to be initiated by computer algorithms. 
 

A. 
25%

B. 
40%

C. 
50%

D. 
75%

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