You have been offered an opportunity to buy shares of a diversified collection of securities

·        Question 1

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	Securities may be traded in the primary market only once.
	Selected Answer:  True Answers:  True

·        Question 2

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	A diversified securities portfolio is characterized by
	Selected Answer: a.  dissimilar risk and return characteristics of the securities. Answers: a.  dissimilar risk and return characteristics of the securities. b.  minimal loss potential. c.  concentrating on a single industry. d.  stable earnings. e.  formula timing.

·        Question 3

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	According to recent legislation, under the FDIC each brokerage account is insured up to $250,000.
	Selected Answer:  False Answers: True  False

·        Question 4

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	You have been offered an opportunity to buy shares of a diversified collection of securities. You will be investing in
	Selected Answer: c.  mutual funds. Answers: a.  common stock. b.  real estate. c.  mutual funds. d.  bonds. e.  stock opt ions.

·        Question 5

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	Which of the following securities/investment acts regulates the sale of mutual fund shares?
	Selected Answer: a.  The Investment Company Act of 1940 Answers: a.  The Investment Company Act of 1940 b.  The Sarbanes-Oxley Act of 2002 c.  The Securities and Protection Act of 1970 d.  the Securities and Exchange Act of 1934 e.  The Securities Act of 1933

·        Question 6

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	Portfolio rebalancing refers to buying and selling activities intended to return a portfolio to its target allocation levels.
	Selected Answer:  True Answers:  True False

·        Question 7

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	Buying on margin is buying
	Selected Answer: d.  with a mix of your own and borrowed funds. Answers: a.  at the market price. b.  with a short sale process. c.  by trading currently owned stock. d.  with a mix of your own and borrowed funds. e.  at the lowest price.

·        Question 8

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	Which of the following is a true statement about the Dow Jones Industrial Average?
	Selected Answer: a.  It is based on 30 industrial stocks. Answers: a.  It is based on 30 industrial stocks. b.  It is a composite index for the 500 largest industrial publicly traded companies. c.  It contains 50 blue chip stocks. d.  It is based on 100 utilities stocks. e.  It is based on 50 transportation stocks.

·        Question 9

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	Convertible securities provide the fixed income features of bonds while offering the price appreciation potential of common stock.
	Selected Answer:  True Answers:  True False

·        Question 10

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	Exchange-traded notes (ETNs) face both market risk and the risk of the issuing bank defaulting.
	Selected Answer:  True Answers:  True False

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