Definitions
Duties
Trends
Regulations
100
Whose duties are to assist in the trading of securities in secondary markets?
Securities Firms
100
What are wealthy individuals who make equity investments called?
Angel Venture Capitalists (aka Angels)
100
What are the top 2 countries that compete for Investment Bankings business worldwide?
The United States Europe
100
Who is the primary regulator of the securities industry?
The Securities & Exchange Commission (SEC)
200
What is the definition/duties of an Underwriter?
Underwriting: Assist in issuance of new securities
200
What DON’T Investment Banks Advise on? A) Mergers B) Transforming Securities C) Corporate Restructuring D) Acquisitions
B) Transforming Securities
200
Accenture Global Professional Services stated that the Top Challenges for Investment Banks 2016 were... (Name at least 3)
Workforce of Future Investment Banking Technology Reference Data Management Blockchain Technology Value Based Cost Reduction Trading Commissions – “Race to Zero” Digital Disruption Cyber Security Market Data
200
What was the intent of the Volcker Rule?
Prohibit certain trading by federally insured institutions Restrict Bank Ownership - certain Hedge Funds or Private Equity Funds Restrict certain Transactions with Affiliates
300
Whose duties are to help corporations and governments raise capital through debt and equity security issues in primary markets?
Investment Banks
300
Who assists in the trading of existing securities? A) Underwriters B) Discount Broker C) Venture Capitalist D) Brokers Dealers
D) Brokers Dealers - Assist in securities trading
300
Name 2 of the 3 top global debt & equity underwriters (U.S. companies only.)
Three of top five global debt and equity underwriters are US companies. JP Morgan Chase Bank of America Merrill Lynch Morgan Stanley
300
Which act reaffirmed federal authority of the industry? A) National Securities Exchange Act (NSEA) of 1996 B) Volcker Act of 2005 C) National Securities Markets Improvement Act (NSMIA) of 1996
C) National Securities Markets Improvement Act (NSMIA) of 1996
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