Question 1

Investing and speculating are two entirely different activities.

Accepted Answer

A) True 
 B)False

Question 2

Choose the word or phrase in [ ] which will correctly complete the statement. Select A for the first item, B for the second item, and C if neither item will correctly complete the statement.
-Listed securities would be purchased from [a securities exchange | the over the counter market].

Accepted Answer

The answer of Choose the word or phrase in [...

Question 3

Which of the following are characteristics of an effective portfolio strategy?

Accepted Answer

A)  level and stability of income 
B)  investment time horizon 
C)  investment experience and age 
D)  disposition toward risk 
E)  all of the above 
A)  level and stability of income 
B)  investment time horizon 
C)  investment experience and age 
D)  disposition toward risk 
E)  all of the above

Question 4

The ____ Index reflects the total market value of over 98% of all publicly traded stock in the US.

Accepted Answer

A)  Dow Jones Industrial Average 
B)  S & P 500 
C)  NASDAQ 
D)  Wilshire 5000 
E)  New York Stock Exchange 
A)  Dow Jones Industrial Average 
B)  S & P 500 
C)  NASDAQ 
D)  Wilshire 5000 
E)  New York Stock Exchange

Question 5

The Securities Investor Protection Corporation insures brokerage firm accounts up to

Accepted Answer

A)  $500,000 per account and $250,000 in cash 
B)  $250,000 per account and $100,000 in cash 
C)  $1,000,000 per account and $500,000 in cash 
D)  $500,000 per account and $250,000 in cash. 
E)  $500,000 per account and $100,000 in cash 
A)  $500,000 per account and $250,000 in cash 
B)  $250,000 per account and $100,000 in cash 
C)  $1,000,000 per account and $500,000 in cash 
D)  $500,000 per account and $250,000 in cash. 
E)  $500,000 per account and $100,000 in cash

Question 6

Your goals tend to set the tone for your investment program,and they play a major role in determining how conservative or aggressive you're likely to be in making investment decisions.

Accepted Answer

A) True 
 B)False

Question 7

In terms of market capitalization,Apple is the biggest company in the world.

Accepted Answer

A) True 
 B)False

Question 8

Long-term securities are traded in the primary market.

Accepted Answer

A) True 
 B)False

Question 9

There are a variety of investment vehicles including which of the following:

Accepted Answer

A)  common stock 
B)  bonds 
C)  preferred and convertible securities 
D)  real estate 
E)  all of the above are investment vehicles 
A)  common stock 
B)  bonds 
C)  preferred and convertible securities 
D)  real estate 
E)  all of the above are investment vehicles

Question 10

The federal government regulates securities markets through the

Accepted Answer

A)  Department of Commerce. 
B)  Federal Reserve System. 
C)  National Association of Securities Dealers. 
D)  Securities and Exchange Commission. 
E)  Federal Securities Agency. 
A)  Department of Commerce. 
B)  Federal Reserve System. 
C)  National Association of Securities Dealers. 
D)  Securities and Exchange Commission. 
E)  Federal Securities Agency.

Question 11

A bull market is characterized by

Accepted Answer

A)  investor optimism. 
B)  governmental stimulus. 
C)  economic slowdown. 
D)  falling stock prices. 
E)  investor pessimism. 
A)  investor optimism. 
B)  governmental stimulus. 
C)  economic slowdown. 
D)  falling stock prices. 
E)  investor pessimism.

Question 12

The over-the-counter market is not an organized security exchange.

Accepted Answer

A) True 
 B)False

Question 13

Choose the word or phrase in [ ] which will correctly complete the statement. Select A for the first item, B for the second item, and C if neither item will correctly complete the statement.
-You would expect to receive an annual dividend of [$0.16 | $0.70] per share.

Accepted Answer

The answer of Choose the word or phrase in [...

Question 14

The federal government regulates securities markets through the Securities and Exchange Commission.

Accepted Answer

A) True 
 B)False

Question 15

During a bear market,security prices generally

Accepted Answer

A)  hold value 
B)  rapidly increase in value 
C)  remain neutral 
D)  decline in value 
E)  consolidate in value 
A)  hold value 
B)  rapidly increase in value 
C)  remain neutral 
D)  decline in value 
E)  consolidate in value

Question 16

How many shares of Stock A traded on this day?

Accepted Answer

A)  2,000 
B)  79,000 
C)  51,000 
D)  10,000 
E)  12,000 
A)  2,000 
B)  79,000 
C)  51,000 
D)  10,000 
E)  12,000

Question 17

The securities market which you could not locate on the map is the

Accepted Answer

A)  New York Stock Exchange. 
B)  American Stock Exchange. 
C)  Midwest Stock Exchange. 
D)  Pacific Stock Exchange. 
E)  Over the Counter Market. 
A)  New York Stock Exchange. 
B)  American Stock Exchange. 
C)  Midwest Stock Exchange. 
D)  Pacific Stock Exchange. 
E)  Over the Counter Market.

Question 18

How much would it cost to purchase a round lot (the smallest number you can get and still be a round lot)of Stock A at the closing price for the day?

Accepted Answer

A)  $ 790 
B)  $ 1,950 
C)  $ 2,960 
D)  $19,500 
E)  $29,600 
A)  $ 790 
B)  $ 1,950 
C)  $ 2,960 
D)  $19,500 
E)  $29,600

Question 19

A market order to sell would be filled at the highest price available that day.

Accepted Answer

A) True 
 B)False

Question 20

Choose the word or phrase in [ ] which will correctly complete the statement. Select A for the first item, B for the second item, and C if neither item will correctly complete the statement.
-The high price for ABC stock over the past 52 weeks was [29 | 23.98].

Accepted Answer

The answer of Choose the word or phrase in [...

Investing and speculating are two entirely different activities.

Choose the word or phrase in [ ] which will correctly complete the statement. Select A for the first item, B for the second item, and C if neither item will correctly complete the statement. -Listed securities would be purchased from [a securities exchange | the over the counter market].

Which of the following are characteristics of an effective portfolio strategy?

The ____ Index reflects the total market value of over 98% of all publicly traded stock in the US.

The Securities Investor Protection Corporation insures brokerage firm accounts up to

Your goals tend to set the tone for your investment program,and they play a major role in determining how conservative or aggressive you're likely to be in making investment decisions.

In terms of market capitalization,Apple is the biggest company in the world.

Long-term securities are traded in the primary market.

There are a variety of investment vehicles including which of the following:

The federal government regulates securities markets through the

A bull market is characterized by

The over-the-counter market is not an organized security exchange.

Choose the word or phrase in [ ] which will correctly complete the statement. Select A for the first item, B for the second item, and C if neither item will correctly complete the statement. -You would expect to receive an annual dividend of [$0.16 | $0.70] per share.

The federal government regulates securities markets through the Securities and Exchange Commission.

During a bear market,security prices generally

How many shares of Stock A traded on this day?

The securities market which you could not locate on the map is the

How much would it cost to purchase a round lot (the smallest number you can get and still be a round lot)of Stock A at the closing price for the day?

A market order to sell would be filled at the highest price available that day.

Choose the word or phrase in [ ] which will correctly complete the statement. Select A for the first item, B for the second item, and C if neither item will correctly complete the statement. -The high price for ABC stock over the past 52 weeks was [29 | 23.98].

Understanding the Financial Planning Process

Using Financial Statements and Budgets

Preparing Your Taxes

Managing Your Cash and Savings

Making Automobile and Housing Decisions

Using Credit

Using Consumer Loans

Insuring Your Life

Insuring Your Health

Protecting Your Property

Investing in Stocks and Bonds

Investing in Mutual Funds

Planning for Retirement

Preserving Your Estate

Filters

Exam 11: Investment Planning

Investing and speculating are two entirely different activities.

Choose the word or phrase in [ ] which will correctly complete the statement. Select A for the first item, B for the second item, and C if neither item will correctly complete the statement. -Listed securities would be purchased from [a securities exchange | the over the counter market].

Which of the following are characteristics of an effective portfolio strategy?

The ____ Index reflects the total market value of over 98% of all publicly traded stock in the US.

The Securities Investor Protection Corporation insures brokerage firm accounts up to

Your goals tend to set the tone for your investment program,and they play a major role in determining how conservative or aggressive you're likely to be in making investment decisions.

In terms of market capitalization,Apple is the biggest company in the world.

Long-term securities are traded in the primary market.

There are a variety of investment vehicles including which of the following:

The federal government regulates securities markets through the

A bull market is characterized by

The over-the-counter market is not an organized security exchange.

Choose the word or phrase in [ ] which will correctly complete the statement. Select A for the first item, B for the second item, and C if neither item will correctly complete the statement. -You would expect to receive an annual dividend of [$0.16 | $0.70] per share.

The federal government regulates securities markets through the Securities and Exchange Commission.

During a bear market,security prices generally

How many shares of Stock A traded on this day?

The securities market which you could not locate on the map is the

How much would it cost to purchase a round lot (the smallest number you can get and still be a round lot)of Stock A at the closing price for the day?

A market order to sell would be filled at the highest price available that day.

Choose the word or phrase in [ ] which will correctly complete the statement. Select A for the first item, B for the second item, and C if neither item will correctly complete the statement. -The high price for ABC stock over the past 52 weeks was [29 | 23.98].

Understanding the Financial Planning Process

Using Financial Statements and Budgets

Preparing Your Taxes

Managing Your Cash and Savings

Making Automobile and Housing Decisions

Using Credit

Using Consumer Loans

Insuring Your Life

Insuring Your Health

Protecting Your Property

Investing in Stocks and Bonds

Investing in Mutual Funds

Planning for Retirement

Preserving Your Estate

Filters