To accommodate recent regulation changes a brokerage firm

Assignment Help Finance Basics
Reference no: EM13393780

1.Which of the following is often cited as the most significant stumbling block in achieving compliance goals within large financial organizations:

A. Poor data quality C. Inadequate funding
B. Lack of training D. Improper accounting system

2.Clayton recently invested $50,000 in an oil company. The company has agreed to use Clayton's investment strictly for exploration purposes. Rather than writing off $50,000 from its corporate taxes, the company passed the deduction on to Clayton. Clayton can now write off the entire amount of his investment against his taxes. Clayton invested his money in

A. offshore companies. C. government bonds.
B. flow-through shares. D. derivatives.

3.To accommodate recent regulation changes, a brokerage firm must implement new financial reporting activities. What positive action can the firm take to help its employees adapt to the change?

A. Hire additional employees who are knowledgeable about the regulations
B. Survey the employees to get their opinions about the regulatory changes
C. Revise the firm's vision statement to include the importance of following regulations
D. Educate and train the employees about the regulatory changes

4. Which of the following statements regarding financial institutions is true:

A. Finance and insurance institutions typically hinder the flow or movement of money through the economy.
B. If the flow of money into a financial institution slows down, there is less money available for the institution to lend or invest.
C. Financial institutions concentrate the risk that individual savers and investors face among a small number of borrowers.
D. Because each financial institution functions independently, the failure of one financial institution has little effect on the others.

5. Analyze the information in the mutual fund table about the AnMl mutual fund.Total Returns Max Init
Chrg
Exp Ratio
Name NAV Net
Chg
YTD
%ret
4Wk
%ret
1 yr 3yr-R 5yr-R AnMl 21.52 -0.12 +17.7 +3.5 NA +22.3A +19.4A 0.00 1.40
Based on the information provided, what type of mutual fund is the AnMl fund?

A. Back-load C. No-load
B. Front-load D. Expiring back-load

6. Which of the following can be used to identify the unethical manipulation of records in a financial-information management system:

A. Long-term liabilities C. Audit trails
B. What-if planning D. Direct checks

7. Which of the following statements regarding accounting and finance is correct:

A. Accounting focuses on the past, while finance focuses on the future.
B. Accounting is much broader than finance, which focuses on investments.
C. Financial managers typically report to the vice president of accounting.
D. The finance department focuses on assets, while accountants track liabilities

Reference no: EM13393780

Questions Cloud

Future investment opportunities are options to abandon : 1. projects can be classified into various categories. these includea. new products and new businesses projects that
Why is it important to understand the ability to evaluate : why is it important to understand the ability to evaluate investments in fixed assets when analyzing an organizations
Develop a 5-6 slide powerpoint presentation describe the : develop a 5-6 slide powerpoint presentation. explain the nature of project management the role of the project manager
The presentation will help everyone on the team understand : you are the chief marketing consultant for your companyrsquos brand. your goal is to help the company create an updated
To accommodate recent regulation changes a brokerage firm : 1.which of the following is often cited as the most significant stumbling block in achieving compliance goals within
Examine strategic manner in which leading company in the : select one 1 of the following categories of products to research sports apparel automobiles home furnishings or
Lar inc has 800000 in current assets 350000 of which are : lear inc. has 800000 in current assets 350000 of which are considered permanent current assets. in addition the firm
Write down an executive summary recognizing appropriate : complete the process design matrix.write an executive summary identifying appropriate design approaches for a selected
Hrabik corporation issued 600000 9 10-year bonds on january : hrabik corporation issued 600000 9 10-year bonds on january 1 2011 for 562613.this price resulted in an

Reviews

Write a Review

 

Finance Basics Questions & Answers

  Calculate the expected price of a stock

Calculate the expected price of a stock when dividends are expected to grow at a 25 percent rate for three years, then grow at a constant rate of 5%,

  What is the current price of the common stock

The company's last dividend, D0, was $1.25, its beta is 1.20, the market risk premium is 5.50%, and the risk-free rate is 3.00%. What is the current price of the common stock?

  Present value-interest and time value of money

What single payment could be made at beginning of first year to achieve this objective? What amount could you pay at the end of each year annually for 10 years to achieve this same objective.

  What is best strategy to move status quo to a desired state

According to the force field analysis model, what is the best strategy to move the status quo to a desired state

  What must the six-month forward rate be to prevent arbitrage

What must the six-month forward rate be to prevent arbitrage?

  Compute the failure rate for six transformers

Compute the failure rate for six transformers that were tested for 600 hours each, three of which failed after 100,175, and 350 hours.

  How would this affect their required rate of return

1.A 30-year, $1,000 par value bond has a 9.5% annual payment coupon. The bond currently sells for $875. If the yield to maturity remains at its current rate, what will the price be 9 years from now?

  Leisure products-costs-gains from acquisition

You determine that investors currently expect a stable growth of about 6 percent in Plastitoys's earnings and dividends. You think that Leisure Products could raise Plastitoys's growth rate to 8 percent per year, without any additional capital inv..

  Problems on mutual funds

Mutual funds composed of stocks that have potential for very high growth, but may also be unproven, are called

  What would be the value of the zero-coupon rate bond

If immediately upon issue, interest rates increased to 13 percent, what would be the value of the zero-coupon rate bond?

  Market value ratios what is the pe ratio and the market to

1 liquidity what is the current ratio and the quick ratio2 asset managment what is the total asset turnover and average

  What is the tax effect of selling the old machine

The company's tax rate is 35% Working capital is expected to increase by $3,000 at the inception of the project, but this amount will be recaptured at the end of year five. What is the tax effect of selling the old machine?

Free Assignment Quote

Assured A++ Grade

Get guaranteed satisfaction & time on delivery in every assignment order you paid with us! We ensure premium quality solution document along with free turntin report!

All rights reserved! Copyrights ©2019-2020 ExpertsMind IT Educational Pvt Ltd