Exam Flashcards

(55 cards)

1
Q

From individuals with funds to invest

A

Transfer of funds

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2
Q

Brings together investor

A

Investment banker

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3
Q

First sale of common stock

A

Initial public offering

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4
Q

Purchase of an issue of new securities

A

Initial public offering

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5
Q

Purchase of an issue of new securities

A

Underwriting

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6
Q

Makes an agreement to sell

A

Originating house

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7
Q

Selling group form

A

Syndicate

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8
Q

Contract with an investment

A

Best effort agreement

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9
Q

Maintain the offer price

A

Pricing a new issue

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10
Q

Propose issue of new securities

A

Shelf registration

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11
Q

Non-public sale of securities

A

Private placement

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12
Q

Federal security laws

A

Full disclosure laws

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13
Q

Annual report filled with the SEC

A

10K report

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14
Q

Federal agency

A

Securities investor protection corporation

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15
Q

Creation of the public company accounting

A

Sarbanes oxley act of 2002

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16
Q

Enforce the federal security laws

A

Securities and exchange commission

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17
Q

Process of filing information with SEC

A

Registration

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18
Q

Establish in Britain during 1860

A

Investment companies

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19
Q

Fixed number of a outstanding share

A

Close end investment company

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20
Q

Mutual fund that uses new shares

A

Open end investment company

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21
Q

Issue and redeem

A

Mutual fund

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22
Q

Asset value of share

A

Need asset value

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23
Q

Combination of all stock and debt

A

Close end investment company

24
Q

Less than the sahre net asset value

25
Exceeds the sahre net asset value
Premium
26
Does not charged a sales commission
No load fund
27
Charge commission
Load fund
28
Include foreign and US firms
Global fund
29
Limited to none US security
International fund
30
Specialize in the firms in the particular geographical area
Regional fund
31
Portfolio seeks to the duplicate index of stock prices
Index fund
32
Security prices adjust
Efficient capital market
33
Fully reflect all security market information
Week form EMH
34
Encompasses the week from hypothesis
Semi strong hypothesis
35
Contents that stock prices fully reflect
Strong form EMH
36
Sell over valued stock
Reduce training torn over
37
Methods of accomplishing
Minimize taxes
38
The integration of two elements
Fusion investing
39
Anatomy mechanics and functioning
Neurofinance
40
Individual behavior
Psychology
41
Study how we behave
Social psychology
42
Various psychological traits
Behavioral finance
43
Ability of the funds to earn
Taxi efficiency
44
Buying the shares of mutual fund
Taxation
45
Offer to sell new shares
Loading charge
46
Derived from the British
Red herring
47
Manage the sale
Lead underwriters
48
Indicates the number of share
Number of shares
49
Stated the name of company
Stock symbol
50
Indicate the highest price you are willing to buy
Price
51
Most common order type
Other type based on price
52
Trader's have access
Order type based on expiration
53
Person
Trader
54
Company
Stock broker
55
Research about stock
Financial analyst