Fundamentals of the Securities Industry 1st Edition by William Rini ISBN 0071403183 9780071403184

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ISBN 10: 0071403183 
ISBN 13: 9780071403184
Author: William Rini

Fundamentals of the Securities Industry 1st Table of contents:

CHAPTER 1 The Corporation
SOLE PROPRIETORSHIPS
PARTNERSHIPS
CORPORATIONS
State of Incorporation
Corporate Charter
Board of Directors
Authorized and Outstanding Shares of Common Stock
Treasury Stock
Equity Securities
Par Value
SUMMARY
MULTIPLE-CHOICE QUIZ
PRACTICE EXERCISES
MULTIPLE-CHOICE ANSWERS AND EXPLANATIONS
ANSWERS TO PRACTICE EXERCISES
CHAPTER 2 Common Stock
CUMULATIVE AND STATUTORY VOTING
DIVIDENDS
CAPITAL GAINS
PRIMARY AND SECONDARY MARKETS
PRICING COMMON STOCKS
ROUND LOTS AND ODD LOTS
LONG, SHORT, AND FLAT POSITIONS
SUMMARY
MULTIPLE-CHOICE QUIZ
PRACTICE EXERCISES
MULTIPLE-CHOICE ANSWERS AND EXPLANATIONS
ANSWERS TO PRACTICE EXERCISES
CHAPTER 3 Rights and Warrants
RIGHTS
MECHANICS OF A RIGHTS OFFERING
STANDBY UNDERWRITING
GENERAL CHARACTERISTICS OF RIGHTS
WARRANTS
SUMMARY
MULTIPLE-CHOICE QUIZ
PRACTICE EXERCISES
MULTIPLE-CHOICE ANSWERS AND EXPLANATIONS
ANSWERS TO PRACTICE EXERCISES
CHAPTER 4 Preferred Stock
FIXED DIVIDENDS
MULTIPLE CLASSES OF STOCK
PAR VALUE
SENIORITY OF PREFERRED DIVIDENDS
CUMULATIVE PREFERRED
PREFERRED STOCKHOLDERS’ RIGHTS
VOTING
SIMILARITY TO BONDS
CALLABLE PREFERRED
INTEREST-RATE SENSITIVITY
CONVERTIBLE PREFERRED
PARITY
SUMMARY
MULTIPLE-CHOICE QUIZ
PRACTICE EXERCISES
MULTIPLE-CHOICE ANSWERS AND EXPLANATIONS
ANSWERS TO PRACTICE EXERCISES
CHAPTER 5 Dividends
REGULAR-WAY SETTLEMENT
THE MECHANICS OF A CASH DIVIDEND DISTRIBUTION
PRICE CHANGES ON THE EX-DIVIDEND DATE
STOCK DIVIDENDS
Stock Splits
Dividend Reinvestment Plans
Current Yield
SUMMARY
MULTIPLE-CHOICE QUIZ
PRACTICE EXERCISES
MULTIPLE-CHOICE ANSWERS AND EXPLANATIONS
ANSWERS TO PRACTICE EXERCISES
CHAPTER 6 Corporate Bonds
INTEREST PAYMENTS
TYPES OF CORPORATE BONDS
PRICING CORPORATE BONDS
PREMIUM, PAR, AND DISCOUNT PRICING
CALLABILITY AND CONVERTIBILITY
BOND RATINGS
INTEREST-RATE SENSITIVITY
SUMMARY
MULTIPLE-CHOICE QUIZ
PRACTICE EXERCISES
MULTIPLE-CHOICE ANSWERS AND EXPLANATIONS
ANSWERS TO PRACTICE EXERCISES
CHAPTER 7 Municipal Bonds
TAX STATUS OF INTEREST PAYMENTS
TAXABLE EQUIVALENT YIELD
GENERAL OBLIGATION BONDS AND REVENUE BONDS
REGISTERED BONDS
STREET NAME
COUPON BONDS
THE MUNICIPAL SECURITIES RULEMAKING BOARD
SERIAL BONDS AND TERM BONDS
Pricing Term Bonds
Pricing Serial Bonds
SUMMARY
MULTIPLE-CHOICE QUIZ
PRACTICE EXERCISES
MULTIPLE-CHOICE ANSWERS AND EXPLANATIONS
ANSWERS TO PRACTICE EXERCISES
CHAPTER 8 U.S. Government Securities
TAX STATUS
BOOK-ENTRY SECURITIES
SAVINGS BONDS
MARKETABLE GOVERNMENT SECURITIES
PRICING TREASURY NOTES AND TREASURY BONDS
GOVERNMENT AGENCY BONDS
SUMMARY
MULTIPLE-CHOICE QUIZ
PRACTICE EXERCISES
MULTIPLE-CHOICE ANSWERS AND EXPLANATIONS
ANSWERS TO PRACTICE EXERCISES
CHAPTER 9 Interest Payments
CALCULATING INTEREST PAYMENTS
ACCRUED INTEREST ON CORPORATE AND MUNICIPAL BONDS
ACCRUED INTEREST ON U.S. GOVERNMENT NOTES AND BONDS
TRADING FLAT
SUMMARY
MULTIPLE-CHOICE QUIZ
PRACTICE EXERCISES
MULTIPLE-CHOICE ANSWERS AND EXPLANATIONS
ANSWERS TO PRACTICE EXERCISES
CHAPTER 10 Yield Calculations
NOMINAL YIELD
CURRENT YIELD
YIELD TO MATURITY
YIELD TO CALL
BASIS POINTS
SUMMARY
MULTIPLE-CHOICE QUIZ
PRACTICE EXERCISES
MULTIPLE-CHOICE ANSWERS AND EXPLANATIONS
ANSWERS TO PRACTICE EXERCISES
CHAPTER 11 Investment Companies
ADVANTAGES OF INVESTMENT COMPANIES
NET ASSET VALUE
CLOSED-END FUNDS
OPEN-END FUNDS
QUOTATIONS
LOAD FUNDS VERSUS NO-LOAD FUNDS
BREAKPOINTS
RIGHT OF ACCUMULATION
LETTER OF INTENT
FORWARD PRICING
PROSPECTUS REQUIREMENTS
REINVESTING DIVIDENDS AND CAPITAL GAINS
MUTUAL FUND OBJECTIVES
SUMMARY
MULTIPLE-CHOICE QUIZ
PRACTICE EXERCISES
MULTIPLE-CHOICE ANSWERS AND EXPLANATIONS
ANSWERS TO PRACTICE EXERCISES
CHAPTER 12 Call Option Basics
STOCK OPTIONS
HOW OPTIONS ARE DESCRIBED
OPTION PREMIUMS
OPTIONS FOR LEVERAGE
THE INTRINSIC VALUE OF STOCK OPTIONS
THE TIME VALUE OF STOCK OPTIONS
WASTING ASSETS
HOW CALL OPTIONS ARE CREATED
SUMMARY
MULTIPLE-CHOICE QUIZ
PRACTICE EXERCISES
MULTIPLE-CHOICE ANSWERS AND EXPLANATIONS
ANSWERS TO PRACTICE EXERCISES
CHAPTER 13 Call Option Strategies
WHAT ULTIMATELY HAPPENS TO AN OPTION?
The Three Scenarios
BREAKEVEN PRICES FOR CALL BUYERS AND WRITERS
CALL OPTIONS AS A HEDGE
COVERED CALL WRITING FOR ADDITIONAL INCOME
THE RISKS AND REWARDS OF CALL BUYING AND CALL WRITING
SUMMARY
MULTIPLE-CHOICE QUIZ
PRACTICE EXERCISES
MULTIPLE-CHOICE ANSWERS AND EXPLANATIONS
ANSWERS TO PRACTICE EXERCISES
CHAPTER 14 Put Options, Straddles, and Spreads
PUT OPTIONS
Time Value and Intrinsic Value
Why Buy Puts?
PUT OPTIONS AS A BEARISH STRATEGY
PUT OPTIONS AS A HEDGE
STRADDLES
SPREADS
SUMMARY
MULTIPLE-CHOICE QUIZ
PRACTICE EXERCISES
MULTIPLE-CHOICE ANSWERS AND EXPLANATIONS
ANSWERS TO PRACTICE EXERCISES
CHAPTER 15 The Primary Market
THE SECURITIES ACT OF 1933
THE PRELIMINARY PROSPECTUS
THE FINAL PROSPECTUS
THE UNDERWRITING PROCESS
GOING PUBLIC—INITIAL PUBLIC OFFERINGS (IPOs)
BEST EFFORTS–ALL-OR-NONE
PRIVATE PLACEMENTS
COMPETITIVE UNDERWRITINGS
Underwriting Brackets
The Tombstone
The Pot and Hot Deals
The Selling Group
SUMMARY
MULTIPLE-CHOICE QUIZ
PRACTICE EXERCISES
MULTIPLE-CHOICE ANSWERS AND EXPLANATIONS
ANSWERS TO PRACTICE
CHAPTER 16 The Secondary Market
THE SECONDARY MARKETPLACES
STOCK EXCHANGES—THE LISTED MARKETPLACE
PARTICIPANTS IN THE LISTED MARKETPLACE
THE SPECIALIST SYSTEM
THE QUOTATION
THE SIZE
THE RANGE
OVER-THE-COUNTER—THE UNLISTED MARKETPLACE
THE NASDAQ STOCK MARKET, INC.
SUMMARY
MULTIPLE-CHOICE QUIZ
PRACTICE EXERCISES
MULTIPLE-CHOICE ANSWERS AND EXPLANATIONS
ANSWERS TO PRACTICE EXERCISES
CHAPTER 17 Types of Orders
MARKET ORDERS
LIMIT ORDERS
STOP ORDERS
STOP LIMIT ORDERS
ORDER QUALIFIERS AND THEIR EFFECTS
All or None (AON)
Fill or Kill (FOK)
Immediate or Cancel (IOC)
Not Held (NH)
Market on Close
TIME IN FORCE
SUMMARY
MULTIPLE-CHOICE QUIZ
PRACTICE EXERCISES
MULTIPLE-CHOICE ANSWERS AND EXPLANATIONS
ANSWERS TO PRACTICE EXERCISES
CHAPTER 18 Short Sales
EXECUTING A SHORT SALE
CLOSING OUT THE SHORT TRANSACTION
MARKING TO THE MARKET
THE RISKS AND REWARDS OF SHORT SELLING
THE TICK RULE
REASONS FOR SELLING SHORT
SUMMARY
MULTIPLE-CHOICE QUIZ
PRACTICE EXERCISES
MULTIPLE-CHOICE ANSWERS AND EXPLANATIONS
ANSWERS TO PRACTICE EXERCISES
CHAPTER 19 Margin Trading
CASH ACCOUNTS AND MARGIN ACCOUNTS
REASONS FOR TRADING ON MARGIN
REGULATION T
REQUIRED PAPERS
WHEN THE STOCKS IN A MARGIN ACCOUNT INCREASE IN PRICE
THE SPECIAL MEMORANDUM ACCOUNT (SMA)
Using the SMA—Cash Withdrawal
Using the SMA—Buying Additional Securities
MAINTENANCE REQUIREMENTS
MEETING A MAINTENANCE CALL
Cash Deposit
Deposit of Additional Collateral
Liquidation
HOW LOW CAN IT GO?
SHORT MARGIN ACCOUNTS
SUMMARY
MULTIPLE-CHOICE QUIZ
PRACTICE EXERCISES
MULTIPLE-CHOICE ANSWERS AND EXPLANATIONS
ANSWERS TO PRACTICE EXERCISES
CHAPTER 20 The Analysis of Securities
FUNDAMENTAL ANALYSIS
THE BALANCE SHEET
Balance Sheet Analysis
Capitalization Ratios
Book Value
THE INCOME STATEMENT
Income Statement Analysis
Earnings Per Share and Dividend Payout Ratio
Current Yield and Price–Earnings Ratio
TECHNICAL ANALYSIS
SUMMARY
MULTIPLE-CHOICE QUIZ
PRACTICE EXERCISES
MULTIPLE-CHOICE ANSWERS AND EXPLANATIONS
ANSWERS TO PRACTICE EXERCISES

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