第二单元金融考试题西南财经大学天府学院复习进程Word文档格式.docx

第二单元金融考试题西南财经大学天府学院复习进程Word文档格式.docx

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D

2）Financialmarketshavethebasicfunctionof

A）bringingtogetherpeoplewithfundstolendandpeoplewhowanttoborrowfunds.

B）assuringthattheswingsinthebusinesscyclearelesspronounced.

C）assuringthatgovernmentsneedneverresorttoprintingmoney.

D）bothAandBoftheabove.

E）bothBandCoftheabove.

A

3）Whichofthefollowingcanbedescribedasinvolvingdirectfinance?

A）Acorporation'

sstockistradedinanover-the-countermarket.

B）Peoplebuysharesinamutualfund.

C）Apensionfundmanagerbuyscommercialpaperinthesecondarymarket.

D）Aninsurancecompanybuyssharesofcommonstockintheover-the-countermarkets.

E）Noneoftheabove.

E

4）Whichofthefollowingcanbedescribedasinvolvingdirectfinance?

B）Acorporationbuyscommercialpaperissuedbyanothercorporation.

C）Apensionfundmanagerbuyscommercialpaperfromtheissuingcorporation.

D）BothAandBoftheabove.

E）BothBandCoftheabove.Answer:

B

5）Whichofthefollowingcanbedescribedasinvolvingindirectfinance?

A）Acorporationtakesoutloansfromabank.

C）Acorporationbuyscommercialpaperinasecondarymarket.

D）Alloftheabove.

E）OnlyAandBoftheabove.Answer:

6）Whichofthefollowingcanbedescribedasinvolvingindirectfinance?

A）AbankbuysaU.S.Treasurybillfromoneofitsdepositors.

C）Apensionfundmanagerbuyscommercialpaperintheprimarymarket.

D）BothAandCoftheabove.

7）Financialmarketsimproveeconomicwelfarebecause

A）theyallowfundstomovefromthosewithoutproductiveinvestmentopportunitiestothosewhohavesuchopportunities.

B）theyallowconsumerstotimetheirpurchasesbetter.

C）theyweedoutinefficientfirms.

D）theydoalloftheabove.

E）theydoAandBoftheabove.

8）Acountrywhosefinancialmarketsfunctionpoorlyislikelyto

A）efficientlyallocateitscapitalresources.

B）enjoyhighproductivity.

C）experienceeconomichardshipandfinancialcrises.

D）increaseitsstandardofliving.

C

9）Whichofthefollowingaresecurities?

A）Acertificateofdeposit

B）AshareofTexacocommonstock

C）ATreasurybill

D）Alloftheabove

E）OnlyAandBoftheabove

10）Whichofthefollowingstatementsaboutthecharacteristicsofdebtandequityaretrue?

A）Theybothcanbelong-termfinancialinstruments.

B）Theybothinvolveaclaimontheissuer'

sincome.

C）Theybothenableacorporationtoraisefunds.

11）Themoneymarketisthemarketinwhicharetraded.

A）newissuesofsecurities

B）previouslyissuedsecurities

C）short-termdebtinstruments

D）long-termdebtandequityinstruments

12）Long-termdebtandequityinstrumentsaretradedinthemarket.

A）primary

B）secondary

C）capital

D）moneyAnswer:

13）Whichofthefollowingareprimarymarkets?

A）TheNewYorkStockExchange

B）TheU.S.governmentbondmarket

C）Theover-the-counterstockmarket

D）Theoptionsmarkets

E）NoneoftheaboveAnswer:

14）Whichofthefollowingaresecondarymarkets?

E）AlloftheaboveAnswer:

15）Acorporationacquiresnewfundsonlywhenitssecuritiesaresoldinthe

A）secondarymarketbyaninvestmentbank.

B）primarymarketbyaninvestmentbank.

C）secondarymarketbyastockexchangebroker.

D）secondarymarketbyacommercialbank.

16）Intermediarieswhoareagentsofinvestorsandmatchbuyerswithsellersofsecuritiesarecalled

A）investmentbankers.

B）traders.

C）brokers.

D）dealers.

E）noneoftheabove.

17）Intermediarieswholinkbuyersandsellersbybuyingandsellingsecuritiesatstatedpricesarecalled

E）noneoftheabove.Answer:

18）Animportantfinancialinstitutionthatassistsintheinitialsaleofsecuritiesintheprimarymarketisthe

A）investmentbank.

B）commercialbank.

C）stockexchange.

D）brokeragehouse.

19）Whichofthefollowingstatementsaboutfinancialmarketsandsecuritiesaretrue?

A）Mostcommonstocksaretradedover-the-counter,althoughthelargestcorporationshavetheirsharestradedatorganizedstockexchangessuchastheNewYorkStockExchange.

B）Acorpor