On a balance Sheet, cash, Marketable securities, Accounts Receivable,...
Goodwill and other intangible assets are only compared when the fair...
True or False, an officer, director or owner of more than 10% of...
If AMR is offering a put valued at $35 and the market price is $35 it...
Which best describes Reserve Requirement?
On a balance Sheet, which is an example of intangibles?
Which best describes front running?
An example of a fixed income investment is
Where would Retained Earnings and common/preferred stock go on a...
If walker shoes (WS) buys 25% of Absolute Runner (AR) for $30 million,...
An adjustment of conversion prices and ratios has been issued. the...
When referring to TIPS, ( treasury inflation protected securities)...
If Long the Stock, the investor is
If short the stock,
Monetary theory, which uses its monetary policy, utilizes ______ to...
When Capping, you
If material non public information is disclosed improperly, it must be...
Xyz corp has a bond with a market price of $1,000 and is convertible...
A contract that states "if the issuer defaults on one of their bonds,...
An issuer is looking to raise $100mm, he issues bonds featuring...
On a balance sheet, Land, Buildings, and Equipment are all...
What is the CURRENT YIELD, if the Nominal Yield is 8% and the bond...
If your trading a bond at a premium, the yield to maturity is
Who is responsible for the implementation of Monetary Theory?
Dividends are determined by
If your trading a bond at a discount, the yield to maturity is
An options contract has intrinsic value if its
Which best describes Discount Rate
________ allows the issuer to redeem the bonds prior to maturity.
Google has an indenture under the trust indenture act of 1939, what...
True or False An issuer cannot redeem its bonds for a certain amount...
The amount over par that an issuer must pay an investor for redeeming...
To increase money supply and ease credit, the Federal Open Market...
Ms. jones owns a 5% bond, how much does she receive annually?
Which CMO Tranche provides the most predictable cash flow and...
In November 2009, RST Corp. paid the principal on a maturing debenture...
When Pegging, you
An options contract that gives the holder the right to sell a certain...
Hotnews.com has issued convertible bonds with a conversion price of...
When a dividend is ________, the following occurs:1)current assets are...
Which best describes the Securities exchange act of 1934?
From the List, which is an example of Long Term Liabilities on a...
True or false: the statement of Cash Flows (AKA statement of Sources...
An issuer is looking to raise $100mm and issues 10 bonds with...
On april 6th 2010 google announces its going to begin trading its...
According to positive convexity, as yields decline
T-bills have a duration of
True or False: A strong dollar will lower import prices and increase...
To decrease money supply and tighten credit, the Federal Open Market...
What form would you use for the Registration of an IPO
When a company first issues a Tender Offer than files for a short form...
Short term investments offered to shareholders at a discount
Long term investments offered at a premium
Rob owns a convertible bond issued by tulip.com with a conversion...
How are T-bills quoted?
True or False: A weak dollar will increase import prices and lower...
If XYZ is offering an option to call at $110 and the market price is...
True or False:when referring to stock splits and...
Which of the following corporate actions would be considered dilutive...
When using (LIFO) for inventory, the last costs are matched with first...
Company J had Sales (revenue) of 250, Gross Profit of 110, Operating...
True or false, a man owns 6% share in google and his wife owns 4%...
The issuer has the ability to repurchase a stock, typically at a...
___________allows bondholders to redeem the bond back to the issuer on...
If a bond was previously rated AA and dropped two notches, what is the...
T-bonds have a duration of
Which tranche is the last to receive payments?
What is the close out of an opening sale
Which contract is the most liquid?
True or false, Aggressive accounting use discount rates in calculating...
True or False: The Patriot act backs CIP?
True or False. John bought made a TO with Google, He is allowed to...
What is the close out of an opening purchase
When investing in other companies, Consolidation is used when...
Jakey has 1,000 shares in google. Google decides that this year...
Which bonds are issued outside the us, pay in US currency, exempt from...
T-notes have a duration of
RYX Waste Developement has increased its ownership of JV Recyclers...
When quoting a yield, how much does 1% represent?
A CMO (Collateralized Mortgage Obligations) is a mortgage backed bond...
Keynesian theory, has a fiscal policy that utilizes _________ to...
Average Workweek, Initial Claims for unemployment, New orders for...
Company J had Sales (revenue) of 250, Gross Profit of 110, Operating...
Under CIP, you must check the name of a foreign client against which...
Stock appreciation rights (SARs) are issued by who and benefit who by...
If an ADR is sponsored, who pays for it?
What is the waiting period for unsuccessful attempts on the series 79
Anyone who acquired 5% or more of equity must file
What best Describes Regulation T
When using FIFO for inventory, (First in, First out) the first are...
How often are customer complaints files and with who?
If GM is offering a put valued at $60 and the market price is $54 it...
Peter knows company A needs to buy 100 units of a product.petere tells...
How often does one take the regulatory element?
True or false: If you work in public finance, you are considered a RR
Jakey has 1,000 shares in google. Google decides that this year...
Typically, a higher yield bond costs
The following are all derivatives except
RFQ corporation reported net income of $30mm which included a...
Which best describes OSJ?
If GM on june is offering an option price of $35 to call at 3 and the...
An investor may receive additional dividends based on company profits,...
Companies exceeding $10mm and more than 500 shareholders must register...
______________ are foreign securities held in a us bank located in a...
The par value of a bond is $1,000. The interest of a bond pays 1...
Which bond is a foreign bond that is issued in the united states, pays...
If John makes a tender offer which causes him to own 6% of the share...
True or false, balance sheet indicates a Minority Interest in net...
What are the penalties for an individual who commits a criminal crime...
If you notice a foreign country such as syria or north korea...
After receiving notice, how long do you have to complete...
How often is AML Tested?
Trading securities outside the regular scope of employement is...
If one wanted to use a form to find out everything they needed to know...
Which Mortgage is Fully Backed by the US Government
The calculation for market Capitalization (outstanding shares x market...
If a firm uses accelerated depreciation for tax reporting and straight...
You are a RR, your father in law asks you for money, he is your...
When referring to GNMA, FNMA, FHLMC, what is true about interest...
Client XYZ wants to share his losses and profits with you, is it...
Which US Treasuries have the characteristics described...
Average duration of employment, prime rate, CPI for services, labor...
When investing in other companies, the equity method is used if...
An OSJ, must be supervised by an
How often are 10Qs Filed a year?
How long does the terminating company have to submit a u-5?
Tulips.com issues a convertible bond with a conversion price of $25...
True or False: Operating lease shows up on your balance sheet
True or False: balance sheet and income statements are combined when...
When a dividend is ______, the following occurs:1)retained earnings...
True or False: if you work for the DPP you are considered a Registered...
Who is responsible for the implementation of Keynesian Theory?
A change in statements, projections on revenue or expenses or a change...
Annual filings covering transactions such as gifts are filed under...
Which is the correct order of the dividend dates?
Which US security(s) can be stripped? (coupon payments and principles...
Industrial Production, Manufacturing and trade sales, personal income...
A Stronger Foreign Currency will have
How long do you have for the transgression of a felony...
When making a TO, how long does the subject company have to notify and...
Can a GDR be offered in the united states
Assume an issuer calls in a bond, where does he get money to repay his...
Who are options created by?
Institutional investment managers file what form quarterly?
US Treasuries are exempt from
A u-5 must be submitted within
Which US Treasury has the characteristics of 1)discount...
How long does a special inactive last for after discharge?
According to positive convexity, as durations lengthen when
Operating LeverageCompany A has $300,000 fixed costs, $340,000 in...
What are the penalties for an individual who commits a civil...
After a u-5 how long does one have before they re-qualify?
Which Security(s) are sold at a weekly auction
Who needs a series 7 as well as a series 79?
If a man is looking to purchase a 5%...
An investor is looking for information on an unsponsored company such...
Notification to the SEC of changes in position are filed in what form...
Which type of shares provides shareholders with the ability to...
Which stock option requires a transaction fee
If an ADR is non-sponsored who is responsible for payment?
When investing in other companies, the cost method is used if...
After material information changes, what time frame is given to file...
Once the SEC approves the preliminary proxy, the company can...
A company wants to buy back stocks, what section must he abide...
When acheiving insider status, what form must be file and how long
A preliminary proxy statement must be filed how long before a...
A US company manufactures goods in Germany and sells them throughout...
A company may have a one-time or nonrecurring event in which earnings...
When filing a schedule 13d-9, who must you file it with
True or false: the BOD decide on Ex-dividend dates.
If Disqualified from registration, you can file ______ for a hearing
The registration form used for IPO over 75 mm public float is:
Google is going to purchase its own securities back, in the process...
Which Security(s) are sold at a periodic auction
Who files a WSP and how often?
John makes a tender offer one april 5th, on April 6th the TO was...
Which Tranche provides the least predictable cash flow and maturity?
A company is headquartered in the US has all of its products produced...
A client buys an IPO, they get a prospectus and a confirmation in the...
Time Period for Annual Proxy Meeting by mail is
A corporation has issued debentures convertible at $50. The stock pays...
What are the penalties for a corporation who commits a criminal crime...
What is the statue of limitations for arbitration?
Time Period for Annual proxy meeting by electronic notice
If you suspect a foreign client of having $5k or more in undeclared...
A Security that allows the holder to buy shares of common stock at a...
If John makes a tender offer which causes him to own 5% of the share...