Question

Question 1 - (What is the name of the SEC regulation that requires public companies to share information with all investors at the same time?   )

A) Regulation FD

B) the Investment Company Act of 1940

C) the Sarbanes-Oxley Act

D) the Investment Advisors Act of 1940

E) the Securities and Exchange Act of 1934

Question 2 - The Securities Act of 1933:

A -requires all companies to comply with IRS rules

B- requires full disclosure of information about new securities issues

C- deals with rules for operating the stock exchanges

D- controls all mutual fund offerings

E- has complete control over the commodities traded through futures contracts

Question3 - The _____ system is the first electronic-based stock market and the largest over-the-counter market.

Group of answer choices

A) AMEX

B) NASDAQ

C) AMC

D) NASA

E) NYSE

Question 4 Which of the following statements about the New York Stock Exchange (NYSE) and the American Stock Exchange (AMEX) is true?

A- Companies listed on the NYSE cannot be listed on the AMEX at the same time.

B- Most firms traded on the NYSE are smaller than those traded on the AMEX.

C- The AMEX rules are stricter than those of the NYSE.

D-Firms cannot move from one exchange to the other.

The oldest and largest organized securities exchange in the United States is the:

Group of answer choices

A- American Stock Exchange

B- Dow Jones Stock Exchange

C- National Stock Exchange

D-Chicago Board of Exchange

E- New York Stock Exchange

F- All AMEX and NYSE transactions occur on the NYSE trading floor.

Question 5 The primary activity of _____ is underwriting.

Group of answer choices

A Securities and Exchange Commission (SEC)

B the New York Stock Exchange

C The Wall Street Journal

D stockbrokers

E investment bankers

Answer 1

1. A) Regulation FD

Regulation Fair Disclosure (Reg FD) is a rule passed by the Securities and Exchange Commission in an effort to prevent selective disclosure by public companies to market professionals and certain shareholders.

2. B)- requires full disclosure of information about new securities issues.

The act—also known as the "Truth in Securities" law, the 1933 Act, and the Federal Securities Act—requires that investors receive financial information from securities being offered for public sale. This means that prior to going public, companies have to submit information that is readily available to investors.

3. B) NASDAQ

It employs an all-electronic trading platform to execute trades.

4. A)- Companies listed on the NYSE cannot be listed on the AMEX at the same time.

Because the AMEX's rules are less strict than those of the NYSE, most AMEX firms are smaller and less well known than NYSE-listed corporations. Some firms move up to the NYSE once they qualify for listing there. Other companies choose to remain on the AMEX. Companies cannot be listed on both exchanges at the same time.

5. E) New York Stock Exchange

This stock exchange's history goes back to New York City in the late 18th century.

6. D) stockbrokers.