Chapter Eleven: Financing & Listing Securities

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  • 1/36 Questions

    LOS Question:Compare and contrast the three types of business structures and explain the process, outcomes, advantages, and disadvantages of incorporation.

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About This Quiz

This quiz covers key aspects of financing and listing securities, including business structures, government and corporate financing, and the securities distribution process.

Chapter Eleven: Financing & Listing Securities - Quiz

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  • 2. 

    LOS Question:Describe the processes by which governments raise debt capital to finance their funding requirements.

  • 3. 

    LOS Question:Describe the processes by which corporations raise debt or equity capital to finance theirfunding requirements.

  • 4. 

    LOS Question: Summarize the steps in the corporate financing process, explain the different methods of offering securities to the public, summarize the prospectus system and evaluate after-market stabilization.

  • 5. 

    LOS Question:Identify other methods of distributing securities to the public through stock exchanges.

  • 6. 

    Discuss the advantages and disadvantages of listing shares for trading on an exchange and explain the circumstances and ways in which exchanges can withdraw trading privileges.

  • 7. 

    WHAT IS THE DIFFERENCE BETWEEN DEBT AND EQUITY?

  • 8. 

    WHAT IS THE DIFFERENCE BETWEEN PREFERRED SHARES AND COMMONSHARES?

  • 9. 

    DO OVER-THE-COUNTER STOCKS TRADE IN THE SECONDARY MARKET?

  • 10. 

    DOES A LIMITED PARTNERSHIP HAVE A GENERAL PARTNER?

  • 11. 

    CAN A PARTNER SUE THE PARTNERSHIP?

  • 12. 

    WHAT’S THE MAJOR DIFFERENCE BETWEEN A PUBLIC AND A PRIVATECORPORATION?

  • 13. 

    HOW CAN A COMPANY HAVE SHARES THAT ARE CONSIDERED ISSUED BUTNOT OUTSTANDING?

  • 14. 

    CAN YOU GIVE ME AN EXAMPLE OF HOW A COMPANY CAN HAVE SHARESTHAT ARE ISSUED BUT NOT OUTSTANDING?

  • 15. 

    CAN YOU GIVE ME AN EXAMPLE OF HOW THE PUBLIC FLOAT DIFFERS FROMOUTSTANDING SHARES?

  • 16. 

    I’M HAVING TROUBLE UNDERSTANDING THE DIFFERENCE BETWEEN THEPUBLIC FLOAT AND SHARES THAT ARE AVAILABLE FOR TRADING BUT NOTPART OF THE PUBLIC FLOAT? PLEASE HELP.

  • 17. 

    WHAT IS THE DIFFERENCE BETWEEN THE TITLES OF LIMITED, INCORPORATED AND CORPORATION?

  • 18. 

    HOW CAN A SHAREHOLDER OR A GROUP OF SHAREHOLDERS OWNING LESSTHAN 50% OF VOTING SHARES CONTROL A CORPORATION?

  • 19. 

    WHAT ARE THE ROLES OF THE CHAIRMAN, CEO AND PRESIDENT OF ACORPORATION?

  • 20. 

    ARE DIRECTORS USUALLY SHAREHOLDERS OF THE CORPORATION?

  • 21. 

    WHAT WOULD AN INTEREST OF DIRECTORS AND OFFICERS IN MATERIALTRANSACTIONS BE?

  • 22. 

    WHAT ARE THE ARTICLES OF INCORPORATION?

  • 23. 

    WHY WOULD A STOCK’S MARKET PRICE BE MORE VOLATILE IF THECOMPANY HAS A SMALLER PUBLIC FLOAT?

  • 24. 

    WHAT DOES “WINDING UP” MEAN?

  • 25. 

    HOW MANY SHARES DO YOU NEED TO OWN IN ORDER TO BE INVITED TO THESHAREHOLDER MEETING?

  • 26. 

    WHAT ARE THE DIFFERENT TYPES OF SHAREHOLDER MEETINGS?

  • 27. 

    WHY ARE SOME COMPANIES INCORPORATED FEDERALLY WHILE OTHERSARE INCORPORATED PROVINCIALLY?

  • 28. 

    I DON’T UNDERSTAND WHY A VOTING TRUST WOULD BE NECESSARY?

  • 29. 

    WHEN A VOTING TRUST TAKES OVER, CAN THE INVESTOR STILL TRADETHEIR SHARES?

  • 30. 

    What is the difference between a typical underwriting deal and a bought deal?

  • 31. 

    What are escowed shares?

  • 32. 

    What is a treasury share? 

  • 33. 

    What is the purpose of a company repurchasing their shares?

  • 34. 

    What is a broker dealer.

  • 35. 

    What is a best effort agreement?

  • 36. 

    What is AIF?

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  • Mar 21, 2023
    Quiz Edited by
    ProProfs Editorial Team
  • Jan 22, 2009
    Quiz Created by
    Smzachary
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