Finance

Which of the following is NOT one of the four main types of public offerings?

Which of the following is NOT one of the four main types of public offerings?

Which of the following is NOT one of the four main types of public offerings?

▸ best efforts offering

▸ standby offering

▸ green-shoe offering

▸ bought deal

phoebe.lou   19   1 Reply

shanelljac204

A low quality issuer wishing to reduce issuing expenses should NOT choose to have their new issue ...

A low quality issuer wishing to reduce issuing expenses should NOT choose to have their new issue ...

A low quality issuer wishing to reduce issuing expenses should NOT choose to have their new issue made on a(n) ________ basis.

▸ letter

▸ best efforts

▸ bought deal

▸ escrow

mkjmabrey   18   1 Reply

clubber25

Put the following IPO process stages into chronological order:I.Initial filingII.Preliminary ...

Put the following IPO process stages into chronological order:I.Initial filingII.Preliminary ...

[html]Put the following IPO process stages into chronological order:
I.

spiderman13   17   1 Reply

Gimor1220

Generally, underwriters provide which of the following services to the issuing firm?

Generally, underwriters provide which of the following services to the issuing firm?

Generally, underwriters provide which of the following services to the issuing firm?

▸ determination of the spread

▸ pricing the issue

▸ strategic business advice

▸ all of the above

djchewinggum   20   1 Reply

OCboba

The term "red herring" refers to the

The term "red herring" refers to the

The term "red herring" refers to the

▸ IPO.

▸ underwriting agreement.

▸ preliminary prospectus.

▸ bought deal.

partygirl4u59   17   1 Reply

kady_kelsey2

What is venture capital?

What is venture capital?

[html]What is venture capital?

▸ money raised from public investors in the capital market

▸ money raised from private investors in the exempt market

▸ money raised from private investors in the over-the-counter market

▸ All of the above are examp

JZ240   15   1 Reply

marksonbol

Use the following statements to answer this question:I. One of the most frequently cited reasons of ...

Use the following statements to answer this question:I. One of the most frequently cited reasons of ...

[html]Use the following statements to answer this question:
I. One of the most frequently cited reasons of why a firm goes public is because

jack bopp   14   1 Reply

drdavid

Which of the following is NOT a reason for a firm to go public?

Which of the following is NOT a reason for a firm to go public?

[html]Which of the following is NOT a reason for a firm to go public?

▸ founders who are no longer actively involved in the company can cash out

▸ greater access to larger markets

▸ decreased reporting regulations for public companies

▸ increased

mmi   14   1 Reply

mamaput

Which of the following is NOT one of the bases of the three major categories of exempt purchasers?

Which of the following is NOT one of the bases of the three major categories of exempt purchasers?

[html]Which of the following is NOT one of the bases of the three major categories of exempt purchasers?

▸ sophistication level of the purchaser

▸ low-risk nature of the instrument

▸ existence of alternative source of money

▸ dollar value of the

itshammertime   12   1 Reply

obedbro

Use the following statements to answer this question:I.Improvements in securities laws have helped ...

Use the following statements to answer this question:I.Improvements in securities laws have helped ...

[html]Use the following statements to answer this question:
I.

mhbtelc   15   1 Reply

EM81607

What are the main differences between a prospectus and an offering memorandum?

What are the main differences between a prospectus and an offering memorandum?

[html]What are the main differences between a prospectus and an offering memorandum?

▸ A prospectus is shorter and costs less to prepare than an offering memorandum.

▸ A prospectus costs less to prepare but is longer than an offering memorandum.

▸

Coolguy80   22   1 Reply

penmc

The Ontario Securities Commission has regulated which of the following?

The Ontario Securities Commission has regulated which of the following?

The Ontario Securities Commission has regulated which of the following?

▸ restricted shares

▸ distribution of shares

▸ control blocks

▸ all of the above

aeropa84   18   1 Reply

rotatorro

A prospectus is mandatory for all securities issuances EXCEPT

A prospectus is mandatory for all securities issuances EXCEPT

A prospectus is mandatory for all securities issuances EXCEPT

▸ corporate bond issuances.

▸ if a very small amount of money is being raised.

▸ securities targeting the general public.

▸ sale of a control block.

marmech12   17   1 Reply

TAE29

What is the exempt market?

What is the exempt market?

[html]What is the exempt market?

▸ the unregulated market for non-registered securities that raises money from private investors

▸ the regulated market for registered securities that raises money from public investors

▸ the regulated market for no

Bootyshaker   17   1 Reply

cryzazn

If you are reading an IPO prospectus, in which form must it be?

If you are reading an IPO prospectus, in which form must it be?

[html]If you are reading an IPO prospectus, in which form must it be?

▸ long-form prospectus, due to the greater risk

▸ short-form prospectus, due to the company's shorter history

▸ either short or long-form, as long as a prospectus is filed

▸ A

Septeos   23   1 Reply

Hello32hello3

If you are handed a formal summary of a security that describes the costs, investment objectives, ...

If you are handed a formal summary of a security that describes the costs, investment objectives, ...

If you are handed a formal summary of a security that describes the costs, investment objectives, and risks involved, what are you reading?

▸ auditor report

▸ proxy statement

▸ annual report

▸ prospectus

malhi101   22   1 Reply

mouallemj

Which of the following is NOT true about a prospectus?

Which of the following is NOT true about a prospectus?

[html]Which of the following is NOT true about a prospectus?

▸ It should be a detailed and honest disclosure of information about the firm.

▸ The investment dealer helps in the preparation of the document and is legally liable.

▸ The CFO rather th

nurse15   17   1 Reply

12Jfiscus

The acronym IPO stands for

The acronym IPO stands for

The acronym IPO stands for

▸ Initial Private Offering.

▸ Intrinsic Put Option.

▸ Initial Public Offering.

▸ Investment Public Offering.

bmwprincess   11   1 Reply

sbbalt

Which of the following is part of a prospectus?

Which of the following is part of a prospectus?

Which of the following is part of a prospectus?

▸ description of the proposed business activity

▸ description of the risk factors

▸ description of the potential market

▸ all of the above

phoebe.lou   11   1 Reply

IcerX2050

Use the following statements to answer this question:I.Risk of information asymmetry is high in an ...

Use the following statements to answer this question:I.Risk of information asymmetry is high in an ...

[html]Use the following statements to answer this question:
I.

Victoria87   13   1 Reply

crazyali16

Which of the following is NOT an essential part of a prospectus?

Which of the following is NOT an essential part of a prospectus?

[html]Which of the following is NOT an essential part of a prospectus?

▸ compensation to be received by company directors and senior executives

▸ auditor's report

▸ a letter from the president giving broad facts about the company

▸ details of fut

killerbear900   17   1 Reply

mr.pogi

Which of the following is/are the major areas in which the OSC is involved?

Which of the following is/are the major areas in which the OSC is involved?

Which of the following is/are the major areas in which the OSC is involved?

▸ takeover bids

▸ activities of investment professionals

▸ primary and secondary market offerings

▸ all of the above areas

drw92   13   1 Reply

maneee1

Why is there a resistance to implementing a federal regulator in Canada?

Why is there a resistance to implementing a federal regulator in Canada?

[html]Why is there a resistance to implementing a federal regulator in Canada?

▸ Federal laws prohibit the federal government from intervening in securities regulation.

▸ The provincial governments are earning prohibitive profits from having contro

futurenurse15   18   1 Reply

TanjaG

The Securities and Exchange Commission is

The Securities and Exchange Commission is

[html]The Securities and Exchange Commission is

▸ a U.S. agency that regulates U.S securities.

▸ a North American agency that regulates the issue of securities outside the U.S.

▸ a Canadian agency that regulates Canadian securities.

▸ none of the

edehghany   18   1 Reply

studytime

In determining whether a security exists, the OSC looks at

In determining whether a security exists, the OSC looks at

[html]In determining whether a security exists, the OSC looks at

▸ whether there is risk involved.

▸ whether the investor has any control on how the money is spent.

▸ whether the promoter raises money and leads the investor to expect a profit.

▸

shopaka12   16   1 Reply

coconut122

Which of the following is NOT one of the major factors the OSC uses to determine whether or not a ...

Which of the following is NOT one of the major factors the OSC uses to determine whether or not a ...

[html]Which of the following is NOT one of the major factors the OSC uses to determine whether or not a document is really a security?

▸ whether the investor has any control over how the money is spent

▸ whether the promoter raises money and leads

vikingblood   16   1 Reply

bigmatic94

What does the acronym SEC stand for in regards to the financial system?

What does the acronym SEC stand for in regards to the financial system?

What does the acronym SEC stand for in regards to the financial system?

▸ Stock Exchange of Canada

▸ Securities and Exchange Commission

▸ Security Enforcement Coalition

▸ Security Exchange of Canada

usha   16   1 Reply

anikamazumder

Which of the following is a fraudulent activity?I.Selling stocks on an institution where there is ...

Which of the following is a fraudulent activity?I.Selling stocks on an institution where there is ...

[html]Which of the following is a fraudulent activity?
I.

anthonyaooo   11   1 Reply

silvermoon197

Which of the following is NOT a mechanism designed to maintain investor confidence in capital markets?

Which of the following is NOT a mechanism designed to maintain investor confidence in capital markets?

Which of the following is NOT a mechanism designed to maintain investor confidence in capital markets?

▸ securities legislation

▸ due process

▸ due diligence

▸ corporate law

vlademirsimon   18   1 Reply

desai.sumeet1

Which of the following potentially result from investors losing faith in the capital market?

Which of the following potentially result from investors losing faith in the capital market?

[html]Which of the following potentially result from investors losing faith in the capital market?

▸ increased investing in real assets like houses and gold

▸ the complete collapse of public capital markets

▸ increased off-shore investing

▸ All o

Vethier 2016   17   1 Reply

JulzMarie

Due diligence refers to

Due diligence refers to

[html]Due diligence refers to

▸ the process of convincing investors to invest in assets.

▸ the process of auditing the financial statements.

▸ the process of checking securities offered to the public to ensure they are legitimate.

▸ None of the a

alireads   11   1 Reply

roman91

Suppose that the current market interest rate is 12% for non-fraudulent bonds, and that one in six ...

Suppose that the current market interest rate is 12% for non-fraudulent bonds, and that one in six ...

[html]Suppose that the current market interest rate is 12% for non-fraudulent bonds, and that one in six bonds are fraudulent in a given market. What would the interest rate be if a fraud premium is introduced, assuming (1) a one-year investment hori

blakenordgaard   15   1 Reply

julie5

The attractiveness of a Ponzi pyramid scheme consists of

The attractiveness of a Ponzi pyramid scheme consists of

[html]The attractiveness of a Ponzi pyramid scheme consists of

▸ convincing investors to invest in assets from which they will never receive a return.

▸ selling stocks with very high volatility to investors.

▸ convincing investors to invest and th

warrenrulez   18   1 Reply

krissyc39

Sal Bender, not one of the most upstanding citizens, has just been arrested for financial fraud, ...

Sal Bender, not one of the most upstanding citizens, has just been arrested for financial fraud, ...

[html]Sal Bender, not one of the most upstanding citizens, has just been arrested for financial fraud, after he cooked up a get-rich-quick scheme that enticed people to purchase $10 million worth of his interest-bearing bonds. He had promised the inv

nrod1120   18   1 Reply

KP20131

Which one of the following is an example of fraudulent activities?

Which one of the following is an example of fraudulent activities?

[html]Which one of the following is an example of fraudulent activities?

▸ buying a large part of a new company and then selling it when the price increases

▸ using an accounting method that increases the earnings of the firm

▸ spreading false rum

Anthonyling   18   1 Reply

evgenome

When interest payments are made by mailing a cheque to the officially listed owner, the bonds must ...

When interest payments are made by mailing a cheque to the officially listed owner, the bonds must ...

When interest payments are made by mailing a cheque to the officially listed owner, the bonds must have been issued in ________ form.

▸ bearer

▸ booked

▸ consolidated

▸ registered

CountrySlim84   17   1 Reply

lizwalker

To which of the following does Gresham's Law apply?

To which of the following does Gresham's Law apply?

To which of the following does Gresham's Law apply?

▸ counterfeit money in circulation

▸ capital markets

▸ the used car market

▸ Gresham's Law is applicable to all of the above.

ryanolson41   19   1 Reply

cherylel

The bonds must have been issued in ________ form, if coupons representing interest payments are to ...

The bonds must have been issued in ________ form, if coupons representing interest payments are to ...

[html]The bonds must have been issued in ________ form, if coupons representing interest payments are to be physically attached to the security and it is the bondholders responsibility to submit the coupons for payment.

▸ bearer

▸ booked

▸ consoli

tsk   20   1 Reply

paris.chen

When does a "financing gap" occur?

When does a "financing gap" occur?

[html]When does a "financing gap" occur?

▸ when a firm raises capital in the market by selling unequal amounts of bonds and equity, and the gap is the difference between the two amounts

▸ when there is a period of time occurring between cash outflo

nikki1992   16   1 Reply

jchang19

Use the following statements to answer this question:I. Asymmetric information is not supposed to ...

Use the following statements to answer this question:I. Asymmetric information is not supposed to ...

[html]Use the following statements to answer this question:
I. Asymmetric information is not supposed to exist in efficient markets.
II.

abdallaex   21   1 Reply

kidace