【正文】 he issue of new securities.II) requires registration of new securities.III) requires issuance of a prospectus detailing financial prospects of the firm.IV) established the SEC.V) requires periodic disclosure of relevant financial information.VI) empowers SEC to regulate exchanges, OTC trading, brokers, and dealers.tombstone.E.indenture.C.A.63.The preliminary prospectus is referred to as a$D.$B.$40$65C.A.61.You sold short 100 shares of mon stock at $45 per share. The initial margin is 50%. At what stock price would you receive a margin call if the maintenance margin is 35%?%D.%B.25%20%C.A.59.Assume you sold short 100 shares of mon stock at $40 per share. The initial margin is 50%. What would be the maintenance margin if a margin call is made at a stock price of $50?500 sharesE.200 sharesC.A.58.You want to purchase IBM stock at $80 from your broker using as little of your own money as possible. If initial margin is 50% and you have $2,000 to invest, how many shares can you buy?500 sharesE.200 sharesC.A.57.You want to purchase GM stock at $40 from your broker using as little of your own money as possible. If initial margin is 50% and you have $4,000 to invest, how many shares can you buy?%D.%B.%%C.A.55.Assume you sell short 1,000 shares of mon stock at $35 per share, with initial margin at 50%. What would be your rate of return if you repurchase the stock at $25 per share? The stock paid no dividends during the period, and you did not remove any money from the account before making the offsetting transaction.40%E.33%C.A.54.You purchased 100 shares of mon stock on margin for $35 per share. The initial margin is 50% and the stock pays no dividend. What would your rate of return be if you sell the stock at $42 per share? Ignore interest on margin.42%E.33%C.A.53.You purchased 100 shares of mon stock on margin for $50 per share. The initial margin is 50% and the stock pays no dividend. What would your rate of return be if you sell the stock at $56 per share? Ignore interest on margin.E.C.A.52.You purchased 1,000 shares of mon stock on margin at $30 per share. Assume the initial margin is 50% and the stock pays no dividend. What would the maintenance margin be if a margin call is made at a stock price of $24? Ignore interest on margin.E.C.A.51.You purchased 100 shares of mon stock on margin at $40 per share. Assume the initial margin is 50% and the stock pays no dividend. What would the maintenance margin be if a margin call is made at a stock price of $25? Ignore interest on margin.$D.$B.50.You purchased 1000 shares of CSCO mon stock on margin at $19 per share. Assume the initial margin is 50% and the maintenance margin is 30%. Below what stock price level would you get a margin call? Assume the stock pays no dividend。$D.$B.49.You purchased 100 shares of XON mon stock on margin at $60 per share. Assume the initial margin is 50% and the maintenance margin is 30%. Below what stock price level would you get a margin call? Assume the stock pays no dividend。$2,.D.$4,.B.$7,200.$12,000.C.A.47.You sold short 100 shares of mon stock at $45 per share. The initial margin is 50%. Your initial investment wasIt doesn39。Call the client to see if she has a preference.D.Route the order to the AMEX Stock Exchange.B.They have greater liquidity than public offerings.They trade in secondary markets.D.Extensive and costly registration statements are required by the SEC.B.I and III and IVD.I, II, and IIIB.the Federal Deposit Insurance Corporation.the Federal Reserve.D.the exchange on which the security will be listed.B.25%33%D.50%B.42.You buy 300 shares of Qualitycorp for $30 per share and deposit initial margin of 50%. The next day, Qualitycorp39。$9,000.E.unlimited.C.A.41.You sell short 100 shares of Loser Co. at a market price of $45 per share. Your maximum possible loss isdark pools.D.high frequency trading.B.passage of the SarbanesOxley Act.approval of new circuit breakers.D.a prohibition of short selling.B.a firm mitment.the prospectus.D.a red herring.B.initial public offering.private placement.D.short sale.B.25 shares50 sharesD.100 sharesB.limitbuy order.market order.D.stoploss order.B. and permit level 1 subscribers to receive general information about prices.permit those with the highest level, 3, to make a market in the security。permit level 1 subscribers to receive general information about prices.D.permit those with the highest level, 3, to make a market in the security.B.s name on behalf of the client.s name on behalf of the client.E.the investor does not receive a stock certificate.D.the investor receives a stock certificate without the owner39。the investor receives a stock certificate with the owner39。not feasible with current technology but is expected to be popular in the near future.a trade of analytic programs between financial analysts.D.a trade of 10,000 (or more) shares of a stock.B. 23 30E. 50D. 10C. 5B.A.31.Block transactions are transactions for more than _______ shares and they account for about _____ percent of all trading on the NYSE.is a way of placing issues in the primary market and allows firms to register securities for sale over a twoyear period.E.allows firms to register securities for sale over a twoyear period.