WorksheetsNH9 - Investment Companies, Trading Markets and Some Fun
Total questions: 20
Worksheet time: 10mins
Assets - Liabilities for a mutual fund equals:
Net Worth
Net Asset Value
Net Operating Margin
Net Investment Income
The best breakfast menu item from Chick-Fil-A is:
The funds listed are:
open end management companies
closed end management companies
fixed UITs
non-fixed UITs
Panspermia is:
inappropriate.
the doctrine or belief that everything material, however small, has an element of individual consciousness.
the hypothetical landmass that existed when all continents were joined, from about 300 to 200 million years ago.
the theory that life on the earth originated from microorganisms or chemical precursors of life present in outer space and able to initiate life on reaching a suitable environment.
A no-load mutual fund:
can charge a management fee and can charge an annual 12b-1 fee limited to .25%
cannot charge a management fee and cannot charge a 12b-1 fee
cannot charge a management fee, but can charge an annual 12b-1 fee limited to .25%
can charge a management fee, but cannot charge a 12b-1 fee
Based of UN projections, which country is expected to have the largest population in the year 2100?
China
India
Nigeria
Brazil
The purchaser of a hedge fund must be a(n):
accredited investor
qualified institutional buyer
professional investor
sophisticated investor
Who won the War of 1812
United States of America
Great Britain
Canada
No one
An equity REIT would most likely invest in all of the following EXCEPT:
apartments
office buildings
shopping malls
industrial parks
How many bones does a typical adult human have?
213
270
206
300
A securities firm does a trade for a customer and charges a commission. In what capacity did the firm act?
Agent
Dealer
Principal
Market Maker
How many Pokemon are currently out there?
809
1122
1008
905
Which of the following orders are accepted on the NYSE automated trading system?
I only
II and III only
I, II, III
I, II, III, IV
All of the following are mammals except:
Orca
Bat
Penguin
Platypus
Which security is traded in the "over-the-counter" market?
American Depositary Receipts
Initial Public Offerings
Mutual Fund Shares
U.S. Government Savings Bonds
Who is the chancellor of Germany?
All of the following dates are needed to compute the total purchase price of a municipal bond traded on a yield basis in the secondary market EXCEPT:
dated date
maturity date
settlement date
interest payment date
In total, how many gifts were given in "The Twelve Days of Christmas"?
364
12
78
90
Under the FINRA 5% Policy, proceeds transactions are subject to:
one mark-up based on the sell side only
one mark-up based on the buy side only
one mark-up based on the buy and sell side combined
two mark-ups; one for the buy side separately and the other for the sell side separately
In the movie Princess Bride, which character used the word "inconceivable" throughout the movie?
Fezzik
Inigo Montoya
Westley
Vizzini
