Chapter Eleven: Financing & Listing Securities
This quiz covers key aspects of financing and listing securities, including business structures, government and corporate financing, and the securities distribution process.
Questions and Answers
- 1.
LOS Question:Compare and contrast the three types of business structures and explain the process, outcomes, advantages, and disadvantages of incorporation.
- 2.
LOS Question:Describe the processes by which governments raise debt capital to finance their funding requirements.
- 3.
LOS Question:Describe the processes by which corporations raise debt or equity capital to finance theirfunding requirements.
- 4.
LOS Question: Summarize the steps in the corporate financing process, explain the different methods of offering securities to the public, summarize the prospectus system and evaluate after-market stabilization.
- 5.
LOS Question:Identify other methods of distributing securities to the public through stock exchanges.
- 6.
Discuss the advantages and disadvantages of listing shares for trading on an exchange and explain the circumstances and ways in which exchanges can withdraw trading privileges.
- 7.
WHAT IS THE DIFFERENCE BETWEEN DEBT AND EQUITY?
- 8.
WHAT IS THE DIFFERENCE BETWEEN PREFERRED SHARES AND COMMONSHARES?
- 9.
DO OVER-THE-COUNTER STOCKS TRADE IN THE SECONDARY MARKET?
- 10.
DOES A LIMITED PARTNERSHIP HAVE A GENERAL PARTNER?
- 11.
CAN A PARTNER SUE THE PARTNERSHIP?
- 12.
WHAT’S THE MAJOR DIFFERENCE BETWEEN A PUBLIC AND A PRIVATECORPORATION?
- 13.
HOW CAN A COMPANY HAVE SHARES THAT ARE CONSIDERED ISSUED BUTNOT OUTSTANDING?
- 14.
CAN YOU GIVE ME AN EXAMPLE OF HOW A COMPANY CAN HAVE SHARESTHAT ARE ISSUED BUT NOT OUTSTANDING?
- 15.
CAN YOU GIVE ME AN EXAMPLE OF HOW THE PUBLIC FLOAT DIFFERS FROMOUTSTANDING SHARES?
- 16.
I’M HAVING TROUBLE UNDERSTANDING THE DIFFERENCE BETWEEN THEPUBLIC FLOAT AND SHARES THAT ARE AVAILABLE FOR TRADING BUT NOTPART OF THE PUBLIC FLOAT? PLEASE HELP.
- 17.
WHAT IS THE DIFFERENCE BETWEEN THE TITLES OF LIMITED, INCORPORATED AND CORPORATION?
- 18.
HOW CAN A SHAREHOLDER OR A GROUP OF SHAREHOLDERS OWNING LESSTHAN 50% OF VOTING SHARES CONTROL A CORPORATION?
- 19.
WHAT ARE THE ROLES OF THE CHAIRMAN, CEO AND PRESIDENT OF ACORPORATION?
- 20.
ARE DIRECTORS USUALLY SHAREHOLDERS OF THE CORPORATION?
- 21.
WHAT WOULD AN INTEREST OF DIRECTORS AND OFFICERS IN MATERIALTRANSACTIONS BE?
- 22.
WHAT ARE THE ARTICLES OF INCORPORATION?
- 23.
WHY WOULD A STOCK’S MARKET PRICE BE MORE VOLATILE IF THECOMPANY HAS A SMALLER PUBLIC FLOAT?
- 24.
WHAT DOES “WINDING UP” MEAN?
- 25.
HOW MANY SHARES DO YOU NEED TO OWN IN ORDER TO BE INVITED TO THESHAREHOLDER MEETING?
- 26.
WHAT ARE THE DIFFERENT TYPES OF SHAREHOLDER MEETINGS?
- 27.
WHY ARE SOME COMPANIES INCORPORATED FEDERALLY WHILE OTHERSARE INCORPORATED PROVINCIALLY?
- 28.
I DON’T UNDERSTAND WHY A VOTING TRUST WOULD BE NECESSARY?
- 29.
WHEN A VOTING TRUST TAKES OVER, CAN THE INVESTOR STILL TRADETHEIR SHARES?
- 30.
What is the difference between a typical underwriting deal and a bought deal?
- 31.
What are escowed shares?
- 32.
What is a treasury share?
- 33.
What is the purpose of a company repurchasing their shares?
- 34.
What is a broker dealer.
- 35.
What is a best effort agreement?
- 36.
What is AIF?
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Mar 21, 2023Quiz Edited by
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Jan 22, 2009Quiz Created by
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