Question 1

The Dow Jones Industrial Average is based on __________. ​

Accepted Answer

A) 50 stocks 
B) 30 stocks 
C) 500 stocks 
D) 200 stocks 
A) 50 stocks 
B) 30 stocks 
C) 500 stocks 
D) 200 stocks

Question 2

Which of the following securities or investment acts regulates the sale of mutual fund shares?

Accepted Answer

A) The Securities Act of 1933 
B) The Securities and Exchange Act of 1934 
C) The Investment Company Act of 1940 
D) The Sarbanes/Oxley Act of 2002 
E) The Securities and Protection Act of 1970 
A) The Securities Act of 1933 
B) The Securities and Exchange Act of 1934 
C) The Investment Company Act of 1940 
D) The Sarbanes/Oxley Act of 2002 
E) The Securities and Protection Act of 1970

Question 3

The NYSE index includes all stocks listed on the "big board."

Accepted Answer

A) True 
 B)False

Question 4

__________ is the process of analyzing the performance of the securities held by an investor. ​

Accepted Answer

A) Portfolio tracking 
B) Investor trading 
C) Index pegging 
D) Securities building 
A) Portfolio tracking 
B) Investor trading 
C) Index pegging 
D) Securities building

Question 5

The Internet allows individual investors to legally:

Accepted Answer

A) perform investment research and screening. 
B) collect money for trading. 
C) participate in pump and dump schemes. 
D) obtain information that is always completely accurate from chat rooms. 
E) obtain unpublished information about a company. 
A) perform investment research and screening. 
B) collect money for trading. 
C) participate in pump and dump schemes. 
D) obtain information that is always completely accurate from chat rooms. 
E) obtain unpublished information about a company.

Question 6

An _____ provides financial and descriptive information about a firm's operations in the recent past to the internal and external interested parties.

Accepted Answer

A) annual stockholders' report 
B) annual tax report 
C) annual portfolio report 
D) annual research report 
E) annual education report 
A) annual stockholders' report 
B) annual tax report 
C) annual portfolio report 
D) annual research report 
E) annual education report

Question 7

Which of the following is a characteristic of organized securities exchanges?

Accepted Answer

A) Organized securities exchanges facilitate the trading of unlisted securities with the issuer. 
B) Prospectus is primarily traded in organized exchanges. 
C) Organized securities exchanges commonly use pink sheets for trading. 
D) Organized securities exchanges deal in mutual funds only. 
E) Organized securities exchanges are also are known as broker market. 
A) Organized securities exchanges facilitate the trading of unlisted securities with the issuer. 
B) Prospectus is primarily traded in organized exchanges. 
C) Organized securities exchanges commonly use pink sheets for trading. 
D) Organized securities exchanges deal in mutual funds only. 
E) Organized securities exchanges are also are known as broker market.

Question 8

Which of the following types of brokers enables an investor to trade electronically from his or her personal computer?

Accepted Answer

A) A full service broker 
B) A bank broker 
C) A futures broker 
D) An online broker 
E) A market maker 
A) A full service broker 
B) A bank broker 
C) A futures broker 
D) An online broker 
E) A market maker

Question 9

The first thing you need to determine in order to reach an investment goal after accumulating the capital is the __________. ​

Accepted Answer

A) rate of return 
B) rate of savings 
C) rate of inflation 
D) rate of consumption 
A) rate of return 
B) rate of savings 
C) rate of inflation 
D) rate of consumption

Question 10

Megan invested in ten bonds of total face value of $1,000,issued by Zen Corporation.The bonds paid 10 percent semiannual interest till the maturity date.Which of the following is the value of interest earned in the first installment on a single bond?

Accepted Answer

A) $50 
B) $100 
C) $500 
D) $90 
E) $75 
A) $50 
B) $100 
C) $500 
D) $90 
E) $75

Question 11

Diversification of investment securities increases risk.

Accepted Answer

A) True 
 B)False

Question 12

The most important investment prerequisites are:

Accepted Answer

A) adequate income and debt. 
B) adequate income and unpublished information. 
C) adequate insurance and liquidity. 
D) an investment plan and a non-monetary goal. 
E) inconsistency and risk awareness. 
A) adequate income and debt. 
B) adequate income and unpublished information. 
C) adequate insurance and liquidity. 
D) an investment plan and a non-monetary goal. 
E) inconsistency and risk awareness.

Question 13

A corporation's annual stockholders' report provides financial data and other information related to both past and planned activities.

Accepted Answer

A) True 
 B)False

Question 14

Exchange traded notes (ETN)face both market risk and the risk of default of the issuing bank.

Accepted Answer

A) True 
 B)False

Question 15

Mutual funds provide professional management and diversification that individual investors-especially those with limited resources-can rarely obtain on their own.

Accepted Answer

A) True 
 B)False

Question 16

Stockbrokers are also known as:

Accepted Answer

A) market makers. 
B) account executives. 
C) underwriters. 
D) commission sellers. 
E) traders. 
A) market makers. 
B) account executives. 
C) underwriters. 
D) commission sellers. 
E) traders.

Question 17

Reviewing the amounts of income that you can realistically expect to receive from Social Security and your employee pension helps you to decide whether they'll be adequate to meet your needs.

Accepted Answer

A) True 
 B)False

Question 18

Online calculators and worksheets help you find answers related to stock exchanges.

Accepted Answer

A) True 
 B)False

Question 19

A fixed dividend would be received with __________. ​

Accepted Answer

A) common stocks 
B) preferred stocks 
C) bonds 
D) insurance policies 
A) common stocks 
B) preferred stocks 
C) bonds 
D) insurance policies

The Dow Jones Industrial Average is based on __________.

Which of the following securities or investment acts regulates the sale of mutual fund shares?

The NYSE index includes all stocks listed on the "big board."

__________ is the process of analyzing the performance of the securities held by an investor.

The Internet allows individual investors to legally:

An _____ provides financial and descriptive information about a firm's operations in the recent past to the internal and external interested parties.

Which of the following is a characteristic of organized securities exchanges?

Which of the following types of brokers enables an investor to trade electronically from his or her personal computer?

The first thing you need to determine in order to reach an investment goal after accumulating the capital is the __________.

Megan invested in ten bonds of total face value of $1,000,issued by Zen Corporation.The bonds paid 10 percent semiannual interest till the maturity date.Which of the following is the value of interest earned in the first installment on a single bond?

Diversification of investment securities increases risk.

The most important investment prerequisites are:

A corporation's annual stockholders' report provides financial data and other information related to both past and planned activities.

Exchange traded notes (ETN)face both market risk and the risk of default of the issuing bank.

Mutual funds provide professional management and diversification that individual investors-especially those with limited resources-can rarely obtain on their own.

Stockbrokers are also known as:

Reviewing the amounts of income that you can realistically expect to receive from Social Security and your employee pension helps you to decide whether they'll be adequate to meet your needs.

Online calculators and worksheets help you find answers related to stock exchanges.

A fixed dividend would be received with __________.

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, ETFS and Real Estate

Planning for Retirement

Preserving Your Estate

Filters

Exam 11: Investment Planning

The Dow Jones Industrial Average is based on __________. ​

Which of the following securities or investment acts regulates the sale of mutual fund shares?

The NYSE index includes all stocks listed on the "big board."

__________ is the process of analyzing the performance of the securities held by an investor. ​

The Internet allows individual investors to legally:

An _____ provides financial and descriptive information about a firm's operations in the recent past to the internal and external interested parties.

Which of the following is a characteristic of organized securities exchanges?

Which of the following types of brokers enables an investor to trade electronically from his or her personal computer?

The first thing you need to determine in order to reach an investment goal after accumulating the capital is the __________. ​

Megan invested in ten bonds of total face value of $1,000,issued by Zen Corporation.The bonds paid 10 percent semiannual interest till the maturity date.Which of the following is the value of interest earned in the first installment on a single bond?

Diversification of investment securities increases risk.

The most important investment prerequisites are:

A corporation's annual stockholders' report provides financial data and other information related to both past and planned activities.

Exchange traded notes (ETN)face both market risk and the risk of default of the issuing bank.

Mutual funds provide professional management and diversification that individual investors-especially those with limited resources-can rarely obtain on their own.

Stockbrokers are also known as:

Reviewing the amounts of income that you can realistically expect to receive from Social Security and your employee pension helps you to decide whether they'll be adequate to meet your needs.

Online calculators and worksheets help you find answers related to stock exchanges.

A fixed dividend would be received with __________. ​

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, ETFS and Real Estate

Planning for Retirement

Preserving Your Estate

Filters

The Dow Jones Industrial Average is based on __________.

__________ is the process of analyzing the performance of the securities held by an investor.

The first thing you need to determine in order to reach an investment goal after accumulating the capital is the __________.

A fixed dividend would be received with __________.