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Equity Securities

Total questions: 30

Worksheet time: 2hrs 30mins

Name
Class
Date
1.

What type of stock would have voting rights?

a)

preferred stock

b)

common stock

c)

stock

d)

option

2.

Security analysis is one step in a larger investment process that involves:

a)

Establishing the objectives of the investor or fund

b)

Forming expectations about the future returns and risks of individual securities

c)

Combining individual securities into portfolios to maximize progress toward the investment objectives

d)

All of the above

3.

In what market scenario, would an issuer generally exercise a call option in a callable bond

a)

Falling interest rates

b)

Rising interest rates

c)

Rising inflation

d)

Option exercise has nothing to do with interest rates or inflation

4.
From an investor’s point of view, which of the following equity securities is the least risky?
a)
A. Putable preference shares.
b)
B. Callable preference shares.
c)
C. Non-callable preference shares.
5.
Which of the following is not a characteristic of common equity?
a)
A. It represents an ownership interest in the company.
b)
B. Shareholders participate in the decision-making process.
c)
C. The company is obligated to make periodic dividend payments.
6.
A portfolio of securities representing a given security market, market segment, or asset class is best described as a:
a)
A. benchmark.
b)
B. security market index.
c)
C. total return index.
7.
With respect to the efficient market hypothesis, if security prices reflect only past prices and trading volume information, then the market is:
a)
A. weak-form efficient.
b)
B. strong-form efficient.
c)
C. semi-strong-form efficient.
8.
Which of the following is least likely to be a reason for a company to issue equity securities on the primary market?
a)
A. To raise capital.
b)
B. To increase liquidity.
c)
C. To increase return on equity.
9.
If markets are semi-strong-form efficient, then passive portfolio management strategies are most likely to:
a)
A. earn abnormal returns.
b)
B. outperform active trading strategies.
c)
C. underperform active trading strategies.
10.
Venture capital investments:
a)
A. can be publicly traded.
b)
B. do not require a long-term commitment of funds.
c)
C. provide mezzanine financing to early-stage companies.
11.
Observed overreactions in markets can be explained by an investor’s degree of:
a)
A. risk aversion.
b)
B. loss aversion.
c)
C. confidence in the market.
12.
Which of the following statements about stocks is FALSE?
a)
Stocks must always pay dividends
b)
Stocks provide return through dividend income and price growth
c)
Preferred stocks pay dividend before common stocks
d)
Not all stocks give owners the right to vote
13.
Stock Exchange of Thailand's Total Return Index grows ______ the normal SET Index.
a)
faster than than
b)
slower than
c)
at the same rate as
d)
A bond certificate must specify the name of its holder
14.
Which of the following statements about stocks is FALSE?
a)
Every companies must have preferred shareholders
b)
Every companies must have shareholders
c)
Public companies have many shareholders
d)
Not all public companies are listed in the stock exchange
15.

Company X currently has book value per share of THB 20 and cost of equity of 12%. If its ROE is 15% and dividend payout ratio is 80%, its next dividend payment is:

a)

2.40

b)

3.00

c)

0.60

d)

1.92

16.

Company X currently has book value per share of THB 20 and cost of equity of 12%. If its ROE is 15% and dividend payout ratio is 80%, its sustainable growth rate is:

a)

3%

b)

2.4%

c)

12%

d)

9.6%

17.

Company X currently has book value per share of THB 20 and cost of equity of 12%. If its ROE is 15% and dividend payout ratio is 80%, its share value is closest to:

a)

26.66

b)

33.33

c)

20.00

d)

25.00

18.

Based on the information provided, dividend in year 3 will be:

a)

1.76

b)

2.81

c)

1.92

d)

2.20

19.

Based on the information provided, if the cost of equity is 16%, the stock value is closest to:

a)

11.15

b)

14.20

c)

9.33

d)

10.00

20.

Suppose a company has net income of THB 1,500 million with 500 million shares outstanding. If its PE ratio is 16x, its price is:

a)

48.00

b)

24.00

c)

16.00

d)

3.00

21.
If a company has high PE ratio, it is most likely because …
a)
The company is expected to grow very fast
b)
The company's stock is overpriced
c)
The company has very few shareholders
d)
The company is very profitable
22.
The best guess of a company's long-term growth rate is …
a)
Long-term economic growth rate
b)
Historical average of dividend growth rate
c)
Industry's profitability
d)
The company's payout policy
23.
Companies IPO because…
a)
all of the mentioned reasons
b)
it allows original shareholders to exit
c)
they want to raise funds
d)
it allows employees to enjoy the company's success
24.

What is the differences between stocks and bonds?

a)

They are both investments.

b)

A stock is what corn grows on, and a bond gets you out of jail.

c)

Stock represents ownership, and bonds represents your word.

d)

A stock represents ownership, and bonds represents a loan.

25.

Which of the following statements about private equity securities is incorrect?

a)

They cannot be sold on secondary markets

b)

They have market-determined quoted prices.

c)

They are primarily issued to institutional investors.

26.

Calculate the return on equity (ROE) of a stable company using the following data (see attachment). Answer with 1 decimal, example 5.2, 4.0

(a)  

27.

Holding all other factors constant, which of the following situations will most likely lead to an increase in a company’s return on equity?

a)

The market price of the company’s shares increases.

b)

Net income increases at a slower rate than shareholders’ equity

c)

The company issues debt to repurchase outstanding shares of equity.

d)

All are correct

28.

Calculate the total return on a share of equity using the following data: Purchase price: $50 Sale price: $42 Dividend paid during holding period: $2

a)

-12.0%

b)

12.0%

c)

-14.3%

d)

14.3%

e)

-16.0%

29.

Which of the following statements is least accurate in describing a company’s market value?

a)

Management’s decisions do not influence the company’s market value.

b)

Increases in book value may not be reflected in the company’s market value

c)

Market value reflects the collective and differing expectations of investors.

30.

Which of the following measures is the most difficult to estimate?

a)

The cost of debt.

b)

The cost of equity.

c)

Investors’ required rate of return on debt.

d)

ROE

e)

ROA