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1. A customer has received a Regulation T margin call. She can meet the call by depositing into her
account which of the following?
I. Listed stock with a market value equal to the amount of the call
II. Cash equal to the amount of the call
III. Unlisted marginable stock with a loan value equal to the call
IV. 50% of the cash amount of the call
a. I or II only
b. II or III only
c. I, II, or III only
d. I, II, III or IV
2. Which of the following are true concerning stop orders?
I. A buy stop can be placed above an area of resistance.
II. A sell stop can be placed below an area of support.
III. All stop orders must be executed at a specific price or better.
IV. Floor brokers may execute stop orders whenever they wish.
a. I and II only
b. II and III only
c. III and IV only
d. I, II and IV only
3. A type of offering in which the issuing corporation is assured of receiving the full amount of the
offering and anything unsold is retained by the underwriters is a(n):
a. firm commitment underwriting
b. best efforts offering
c. standby offering
d. contingency offering
4. If a customer enters a good-until-canceled (GTC) order to sell short 100 shares of XYZ at 37
a. this is an open order
b. the order becomes a market order when the stock reaches 37
c. the customer is guaranteed to sell the stock at 37
d. this is a day order
1. Intial margin is 50% and when the balance drops below 25%, the trader receives the margin call. In that case, he has to deposit cash or listed equity equal to the amount of the call. Option a is the right answer.
2. All stop orders must be executed at a specific price or better. Floor brokers may execute stop orders whenever they wish. Option c.
3. Standbuy Offering where shares are offered in IPO and the remaining shares are promised to be underwritten by the firm. Option c
4. Open order. Opton a
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