Chapter Eleven: Financing & Listing Securities

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Quizzes Created: 2 | Total Attempts: 184

Questions: 36 | Attempts: 68 | Updated: Mar 21, 2023

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Chapter Eleven: Financing & Listing Securities

Questions and Answers

1.

LOS Question:Compare and contrast the three types of business structures and explain the process, outcomes, advantages, and disadvantages of incorporation.
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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Current Version
Mar 21, 2023

Quiz Edited by
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Jan 22, 2009

Quiz Created by
Smzachary

Chapter Eleven: Financing & Listing Securities

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

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

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

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.

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

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.

WHAT IS THE DIFFERENCE BETWEEN DEBT AND EQUITY?

WHAT IS THE DIFFERENCE BETWEEN PREFERRED SHARES AND COMMONSHARES?

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

DOES A LIMITED PARTNERSHIP HAVE A GENERAL PARTNER?

CAN A PARTNER SUE THE PARTNERSHIP?

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

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

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

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

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.

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

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

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

ARE DIRECTORS USUALLY SHAREHOLDERS OF THE CORPORATION?

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

WHAT ARE THE ARTICLES OF INCORPORATION?

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

WHAT DOES “WINDING UP” MEAN?

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

WHAT ARE THE DIFFERENT TYPES OF SHAREHOLDER MEETINGS?

WHY ARE SOME COMPANIES INCORPORATED FEDERALLY WHILE OTHERSARE INCORPORATED PROVINCIALLY?

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

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

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

What are escowed shares?

What is a treasury share?

What is the purpose of a company repurchasing their shares?

What is a broker dealer.

What is a best effort agreement?

What is AIF?