1. Investment funds provide investors all of the following except:
a. diversification.
b. contractual rate of return.
c. professional advice.

d. small minimum investment.


2. Investment funds
a. are adaptive organizations which have responded well to economic conditions and investor needs.
b. are slow to react to needs because of severe regulation.

c. have shifted from one investment fad to another without attending to investor needs.
d. serve the large institutional investor.

3. Unit investment trusts provide all of the following advantages to investors except:
a. diversification
b. professional organization and investment selection
c. no-load mutual fund
d. closed-end investment company.

 

4. “Qualified” pension plans would have an incentive to invest in all the following except
a. municipal bonds
b. corporate bonds

c. preferred stocks
d. mortgages

1. One may find the shares of which of the following traded on the national exchanges?
a. MMMF
b. open-end investment company
c. no-load mutual fund
d. closed-end investment company
e. none of the above


2. Which one of the following is not actively managed?
a. load mutual funds
b. unit investment trusts
c. REITs

d. MMMFs

3. Investment funds
a. are adaptive organizations which have responded well to economic conditions and investor needs.
b. are slow to react to needs because of severe regulation.

c. have shifted from one investment fad to another without attending to investor needs.
d. serve the large institutional investor.

4. Investment funds provide investors all of the following except:
a. diversification.
b. contractual rate of return.
c. professional advice.

d. small minimum investment.

1. The Banking Act of 1933, known as the Glass-Steagall Act, has effectively kept commercial banks out of the commercial lending area.
True
False

2. Investment banking firms provide both financing and investment services for borrowers and lenders, respectively.
True
False

3. The 40% margin rule requires the buyer/seller of a security to provide at least 60% of the funds necessary to cover the transaction, borrowing 40%.
True
False

4. Venture capital firms compete with commercial banks for new business loans.
True
False

1. Discount brokers offer investment advice at prices below full service security brokerage houses.
True
False


2. Investment banking firms provide both financing and investment services for borrowers and lenders, respectively.
True
False


3. Venture capital firms compete with commercial banks for new business loans.
True
False


4. The Banking Act of 1933, known as the Glass-Steagall Act, has effectively kept commercial banks out of the commercial lending area.
True
False

1  A person can be prosecuted for both an attempt and the completed crime.
True
False


2. According to Hicks v. U.S.,150 U.S. 442 (1893)one can be held criminally liable by “merely speaking words of encouragement.”
True
False



3. According to MPC §1.07, conspirators in a completed crime may be punished for the conspiracy, as well as the completed crime.
True
False


4. According to your reading, in some states it is a more serious offense to break into a car and steal a tape player than it is to steal the entire car.
True
False

 

 

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    • 1. Investment funds provide investors all of the following except:
      a. diversification.
      b. contractual rate of return.
      c. professional advice.
      d. small minimum investment.


      2. Investment funds
      a. …

    • 1. Investment funds provide investors all of the following except:

      a. diversification.

      b. contractual rate of return.

      c. professional advice.

      d. small minimum investment.

      2. Investment funds

      a. are …

    • 1. One may find the shares of which of the following traded on the national exchanges?

      a. MMMF

      b. open-end investment company

      c. no-load mutual fund

      d. closed-end investment company

      e. none of the above

    • 1. One may find the shares of which of the following traded on the national exchanges?
      a. MMMF
      b. open-end investment company
      c. no-load mutual fund
      d. closed-end investment company
      e. none of …