Securities market answers Synergy tests (topics 1-7)

Securities market answers Synergy tests (topics 1-7) score 98/100 points Excellent.
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Topic 1. The essence and functions of the securities market
Topic 2. Securities market participants
Topic 3. Issue of securities
Topic 4. Securities circulation
Topic 5. Stock indices - information base for exchange trading
Topic 6. Securities as an investment object
Topic 7. Securities as a source of business financing
Practical tasks for independent completion
final examination
Final test

The broker has the right to guarantee the client the achievement of a minimum level of profitability from investing the funds stored by him
· yes, if the commission agreement provides for the broker’s obligation to keep funds for investing in securities
· yes, if the agreement provides for the broker’s obligation to ensure a minimum level of return on investment of stored funds
· no if the broker acts on the basis of an agency agreement
· no in any case
Depending on the time and method of entry of securities into circulation, the securities market is divided into:
· for primary and secondary
· international, regional, national and local
· organized and unorganized
In the Russian Federation, state regulation of the securities market is carried out by:
· establishing mandatory requirements for activities in the securities market and standards for its implementation
· transfer of all over-the-counter transactions to exchange ones
· licensing of professional activities
· ban on transactions with foreign investors
· through a mandatory state share in each public joint stock company
In the Russian Federation, the following may be obligated by a bill of exchange:
· legal entities only
· individuals only
· legal entities and individuals
In accordance with the Federal Law “On the Securities Market”, securities management activities are carried out:
· legal entity
· legal entity or individual entrepreneur
on behalf of the manager
· on behalf of the client
· only in the interests of the client
· in the interests of the client or third parties indicated by him
Used in technical analysis
· trending methods
· financial analysis of the issuer
· oscillators
· macroeconomic analysis
moving averages
What is the difference between an organized securities market and an unorganized one?
· any market participants trade on an organized market, and only professional market participants trade on an unorganized market
· trading on the unorganized securities market is carried out on the basis of legally established rules, but on the organized market there are no rules established
· on the organized market, the circulation of securities is carried out on the basis of legally established rules between licensed professional intermediaries, and on the unorganized market - without observing rules uniform for all market participants
Variation margin is...

The following types of client orders to the broker are possible:
· limit order
market order
swap order
Does the registrar maintaining the register of shareholders of CJSC “X” have the right to carry out transactions with these shares?
· yes, in any case
· yes, if this is provided for in the register maintenance agreement with the closed joint-stock company
· yes, unless it is expressly prohibited by the register maintenance agreement with the closed joint-stock company
· No
All transactions with securities are divided into the following groups:
· cash
· cash
· urgent
· postponed
The secondary market has the following distinctive features:
· services the issue (issue)
· serves the circulation of previously issued securities
· determines the actual exchange rate of securities
determines the nominal value of securities
· ensures liquidity of securities
· determines the issue price of securities
carries out the initial placement of securities
· carries out all acts of purchase and sale and other forms of transfer of a security from one owner to another during the entire period of existence of the security
Select from the following instruments that have the following characteristics: are issued by enterprises in the form of debt obligations as a means of payment for goods and services; may be presented for payment after the expiration of the period specified therein; can be assigned to the bank before the expiration of the term with a discount; The amount of the discount depends on the period remaining to maturity, market interest rates and the credit risk of the issuer
· government securities
· bills
certificates of deposit
Choose the correct statement.
· if a person is a buyer of a contract, then he opens a long position, if a person is a seller of a contract, then he opens a short position
· if a person is a buyer of a contract, then he opens a short position, if a person is a seller of a contract, then he opens a long position
· if the price rises, then both the buyer and the seller are in a long position, if the price falls, then both the buyer and the seller are in a short position
Choose the correct statement.
· margin transactions are the purchase of securities with partial payment with borrowed funds
· margin transactions are sales on loan
· margin transactions are typical for novice investors
· margin transactions are not typical for novice investors
Choose the correct statement.
· speculators playing for growth - “bulls”
· speculators playing for growth - “bears”
· bearish speculators
· speculators playing short – “bulls”
Select the statements that apply to futures contracts.
· futures is an obligation to make or accept delivery of a cash instrument at the expiration date of the futures
· depending on the real relationship between the futures price and the price of the cash asset, the futures price at the time of its expiration exceeds the price of the cash instrument
· theoretically, the correct price will be the futures price, at which there is no possibility of arbitrage through transactions with a cash instrument
The main and final payer of a promissory note is...
drawer
· acceptor
· avalist
last endorser
· the person indicated in the bill as the payer
The deposit agreement must contain the following essential conditions:
· unambiguous definition of the subject of the contract
· contract time
· the amount and procedure for payment for depository services provided for in the agreement
· frequency of the depository report
· name of the issuer
· size of initial and variation margin
The holder of the register of securities owners may be the issuer if the number of shareholders does not exceed:
· 500
· 150
· 50
· no restrictions
Why is acceptance necessary?
· for a bill of exchange
· for a promissory note
· for a check
· for certificate of deposit
The securities account agreement must be concluded:
in simple written form
· in notarial form
· in simple

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