Q1. The trading of exchange registered securities over the counter by non-exchange member firms is called: A) the fourth market. B) block trading. C) the third market.
Q2. Which of the following statements about security markets is least accurate? A) Secondary market refers to the trading of outstanding securities. B) Third market refers to OTC trading of exchange listed securities. C) Primary market refers to the trading of securities on a major market such as the NYSE in the US.
Q3. Which of the following statements about U.S. securities markets is most accurate? A) The U.S. OTC market is a subset of what is known as the Fourth Market. B) To be traded on the OTC market, a security must first be approved by the National Association of Securities Dealers. C) The U.S. OTC market is the largest U.S. secondary market in terms of the number of issues traded.
Q4. Stop loss sell orders are: A) placed to protect the gains on a long position. B) placed to protect a short position. C) executed on an uptick only.
Q5. Which of the following is a securities market characterized by matching large buy and sell orders on electronic crossing networks? A) OTC market. B) New York Stock Exchange. C) Fourth market.
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发表于 2009-1-22 11:37
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