金融市场学双语题库及答案第二十二章米什金《金融市场与机构》.docx

金融市场学双语题库及答案第二十二章米什金《金融市场与机构》.docx

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金融市场学双语题库及答案第二十二章米什金《金融市场与机构》

FinancialMarketsandInstitutions^8e（Mishkin）

Chapter22InvestmentBanks,SecurityBrokersandDealers,andVentureCapitalFirms

22.1MultipleChoice

1）Ailinvestmentbankisafinancialmstitutionthat

A）bundlessmalldepositsintolargerloans.

B）helpscoipoiationsraisefxinds.

C）holdsmostofitsassetsinconuneicialpaper.

D）doesalloftheabove・

E）doesonlyAandBoftheabove.

Answer:

B

Topic:

Chapter22.1InvestmentBanks

QuestionStatus:

PreviousEdition

2）Ina,newissuesofasecuiitvaresoldtobuyersbythecorpoiationoi

govenmientagencyultmiatelvusmgthefunds.

A）piimaiymaiket

B）secondaiymaiket

C）capitalmaiket

D）moneymarket

Answer:

A

Topic:

Chapter22.1InvestmentBanks

QuestionStatus:

NewQuestion

3）Ina、asecurityissoldbetweeninvestors,anddoesnot（necessarily）

mvolvethecoiporationoigovenmientagencyultimatelyusmgthefluids.

A）piimaiymaiket

B）secondaiymaiket

C）capitalmaiket

D）moneymarket

Answer:

B

Topic:

Chapter22.1InvestmentBanks

QuestionStatus:

NewQuestion

4）TheGlass-SteagallAct

A）separatedconunefcialandmvestmentbaiikmg.

B）madeitillegalforacommercialbanktobuyorsellsecuritiesonbehalfofitscustomers.

C）madeitillegalformvestmentbankstoengagemtheundenviitmgofcoipoiatesecurities・

D）didalloftheabove・

E）didonlyAandBoftheabove・

Answer:

E

Topic:

Chapter22.1InvestmentBanks

QuestionStatus:

PreviousEdition

5）DuimgtheDepression,aboutbanksfailed（about40%ofallconmieicial

banks）.

A）500

B）1,000

C）5,000

D）10,000

Answer:

D

Topic:

Chapter22.1InvestmentBanks

QuestionStatus:

NewQuestion

6）hivestmentbankssellsecuiitiestothepublic,andbiokeragefunissell

securitiestothepublic・

A）new;existing

B）newandexisting;existmg

C）existmg;new

D）existmg;newandexistmg

Answer:

A

Topic:

Chapter22.1InvestmentBanks

QuestionStatus:

PreviousEdition

7）Theprunaiyfiuictionofmvestmentbanksis

A）thebundlingofdepositsintoloans.

B）extendinglong-teimcredittootherfinancialmstitiitions.

C）helpingcorporationsraisefunds.

D）providingcredittofirmsengagedininteniationaltrade.

Answer:

C

Topic:

Chapter22.1InvestmentBanks

QuestionStatus:

PreviousEdition

8）Theprunaiyfiuictionofmvestmentbanksisto

A）extendcredittostockbrokersanddealers・

B）extendcredittoinvestors・

C）extendcredittocoipoiations.

D）helpcoipoiationsissuenewsecurities・

Answer:

D

Topic:

Chapter22.1InvestmentBanks

QuestionStatus:

PreviousEdition

9）Wluchisnotanactivityofinvestmentbanks?

A）Undenvntingnewissuesofcoiporatestocksandbonds

B）Actmgasdealmakersinmergers

C）Actmgaslntennediaiiesmthebuvuigandsellingofbusinessesoipartsofbusmesses

D）Undenvntingnewissuesoffederalgoveimnentbonds

Answer:

D

Topic:

Chapter22.1InvestmentBanks

QuestionStatus:

PreviousEdition

10）Tasksthatinvestmentbankersperformwhenactingasundeiwiiterstosellsecuritiestothepublicinclude

A）piicingthesecunty.

B）piepanngthefilingsrequuedbytheSecuritiesandExchangeConuiussion・

C）arrangingforthesecuntytoberated.

D）alloftheabove・

E）onlyAandBoftheabove・

Answer:

D

Topic:

Chapter22.1InvestmentBanks

QuestionStatus:

PreviousEdition

11）Investmentbanksfinditlessdifficulttopricesecuritiesifthefilmhaspriorissues

cunentlvsellingmthemaiket,called・

A）secondaiyissues

B）seasonedissues

C）outstandmgissues

D）expeiiencedissues

Answer:

B

Topic:

Chapter22.1InvestmentBanks

QuestionStatus:

PreviousEdition

12）Theprocessofundenvntingastockoibondissuelequiiesthattheinvestmentbank

A）assureinvestorsthattheissuewillprovidethemahigliletuin.

B）purchasetheentireissueatapredeteniuiiedpriceifthequantitydemandedbyconsumeisisinsufficientatthepiedeteiminedpace.

C）purchasetheentireissueatapredetennmedpiiceandthenresellitmthemaiket.

D）dobothAandBoftheabove・

Answer:

C

Topic:

Chapter22.1InvestmentBanks

QuestionStatus:

PreviousEdition

13）TheregistrationstatementthesecuntiesimderwiiteifileswiththeSECcontamsmfbrmationabout

A）thefirm'sfinancialcondition,management,competition,liidustiy,andexperience・

B）howthefundswillbeused.

C）management^assessmentoftheriskofthesecurities・

D）alloftheabove・

E）onlyAandBoftheabove・

Answer:

D

Topic:

Chapter22.1InvestmentBanks

QuestionStatus:

PreviousEdition

14）SECregistrationis

A）requiiedforallsecunties.

B）requirediflessthanSI.5millioninsecuritiesareissuedperyea】.

C）notlequuedforsecuntiesthataresoldtluoughaprivateplacemen匸

D）requiiedifthesecuritiesmatuieinlessthanoneyeai.

E）notrequuedifsecuntiesaieundeiwiittenbyareputableinvestmentbank・

Answer:

C

Topic:

Chapter22.1InvestmentBanks

QuestionStatus:

PreviousEdition

15）Bylaw,investorsmust