投资学题库Chap001Word格式.docx
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投资学题库Chap001Word格式.docx
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Land,machines,andknowledge
3.
Themeansbywhichindividualsholdtheirclaimsonrealassetsinawell-developedeconomyare
investmentassets.
depositoryassets.
derivativeassets.
financialassets.
exchange-drivenassets.
4.
_______arefinancialassets.
Bonds
Stocks
Bondsandstocks
Bonds,machines,andstocks
5.
_________financialasset(s).
Buildingsare
Landisa
Derivativesare
U.S.agencybondsare
DerivativesandU.S.agencybondsare
6.
Financialassets
directlycontributetothecountry'
sproductivecapacity.
indirectlycontributetothecountry'
contributetothecountry'
sproductivecapacitybothdirectlyandindirectly.
donotcontributetothecountry'
sproductivecapacityeitherdirectlyorindirectly.
areofnovaluetoanyone.
7.
In2012,____________wasthemostsignificantrealassetofU.S.householdsintermsoftotalvalue.
consumerdurables
automobiles
realestate
mutualfundshares
bankloans
8.
In2012,____________wastheleastsignificantfinancialassetofU.S.householdsintermsoftotalvalue.
debtsecurities
lifeinsurancereserves
pensionreserves
9.
In2012,____________wasthemostsignificantfinancialassetofU.S.householdsintermsoftotalvalue.
10.
In2012,____________wasthemostsignificantassetofU.S.householdsintermsoftotalvalue.
11.
In2012,____________wasthemostsignificantliabilityofU.S.householdsintermsoftotalvalue.
creditcards
mortgages
studentloans
otherdebt
12.
WhichofthefollowingfinancialassetsmadeupthegreatestproportionofthefinancialassetsheldbyU.S.households?
Pensionreserves
Lifeinsurancereserves
Mutualfundshares
Debtsecurities
Personaltrusts
13.
In2012_______oftheassetsofU.S.householdswerefinancialassetsasopposedtotangibleassets.
20.4%
34.2%
68.8%
71.7%
82.5%
14.
Thelargestcomponentofdomesticnetworthin2012was
nonresidentialrealestate.
residentialrealestate.
inventories.
consumerdurables.
equipmentandsoftware.
15.
Thesmallestcomponentofdomesticnetworthin2012was
16.
ThenationalnetworthoftheU.S.in2012was
$15.411trillion.
$26.431trillion.
$42.669trillion.
$48.616trillion.
$70.983trillion.
17.
Afixed-incomesecuritypays
afixedlevelofincomeforthelifeoftheowner.
afixedstreamofincomeorastreamofincomethatisdeterminedaccordingtoaspecifiedformulaforthelifeofthesecurity.
avariablelevelofincomeforownersonafixedincome.
afixedorvariableincomestreamattheoptionoftheowner.
18.
Adebtsecuritypays
19.
Moneymarketsecurities
areshortterm.
arehighlymarketable.
aregenerallyverylowrisk.
arehighlymarketableandaregenerallyverylowrisk.
Alloftheoptions
20.
Anexampleofaderivativesecurityis
acommonshareofMicrosoft.
acalloptiononIntelstock.
acommodityfuturescontract.
acalloptiononIntelstockandacommodityfuturescontract.
acommonshareofMicrosoftandacalloptiononIntelstock.
21.
Thevalueofaderivativesecurity
dependsonthevalueoftherelatedsecurity.
isunabletobecalculated.
isunrelatedtothevalueoftherelatedsecurity.
hasbeenenhancedduetotherecentmisuseandnegativepublicityregardingtheseinstruments.
isworthlesstoday.
22.
Althoughderivativescanbeusedasspeculativeinstruments,businessesmostoftenusethemto
attractcustomers.
appeasestockholders.
offsetdebt.
hedgerisks.
enhancetheirbalancesheets.
23.
Financialassetspermitallofthefollowingexcept
consumptiontiming.
allocationofrisk.
separationofownershipandcontrol.
eliminationofrisk.
24.
The____________referstothepotentialconflictbetweenmanagementandshareholders.
agencyproblem
diversificationproblem
liquidityproblem
solvencyproblem
regulatoryproblem
25.
Adisadvantageofusingstockoptionstocompensatemanagersisthat
itencouragesmanagerstoundertakeprojectsthatwillincreasestockprice.
itencouragesmanagerstoengageinempirebuilding.
itcancreateanincentiveformanagerstomanipulateinformationtopropupastockpricetemporarily,givingthemachancetocashoutbeforethepricereturnstoalevelreflectiveofthefirm'
strueprospects.
26.
Whichofthefollowingaremechanismsthathaveevolvedtomitigatepotentialagencyproblems?
I)Usingthefirm'
sstockoptionsforcompensation
II)Hiringbickeringfamilymembersascorporatespies
III)Boardsofdirectorsforcingoutunderperformingmanagement
IV)Securityanalystsmonitoringthefirmclosely
V)Takeoverthreats
IIandV
I,III,andIV
I,III,IV,andV
III,IV,andV
I,III,andV
27.
Corporateshareholdersarebestprotectedfromincompetentmanagementdecisionsby
theabilitytoengageinproxyfights.
management'
scontrolofpecuniaryrewards.
theabilitytocallshareholdermeetings.
thethreatoftakeoverbyotherfirms.
one-share/one-voteelectionrules.
28.
Theoretically,takeoversshouldresultin
improvedmanagement.
increasedstockprice.
increasedbenefitstoexistingmanagementoftaken-overfirm.
improvedmanagementandincreasedstockprice.
29.
Duringtheperiodbetween2000and2002,alargenumberofscandalswereuncovered.Mostofthesescandalswererelatedto
I)manipulationoffinancialdatatomisrepresenttheactualconditionofthefirm.
II)misleadingandoverlyoptimisticresearchreportsproducedbyanalysts.
III)allocatingIPOstoexecutivesasaquidproquoforpersonalfavors.
IV)greenmail.
II,III,andIV
I,II,andIV
IIandIV
I,II,andIII
30.
TheSarbanes-OxleyAct
requirescorporationstohavemoreindependentdirectors.
requiresthefirm'
sCFOtopersonallyvouchforthefirm'
saccountingstatements.
prohibitsauditingfirmsfromprovidingotherservicestoclients.
requirescorporationstohavemoreindependentdirectorsandrequiresthefirm'
31.
Assetallocationrefersto
choosingwhichsecuritiestoholdbasedontheirvaluation.
investingonlyin"
safe"
securities.
theallocationofassetsintobroadassetclasses.
bottom-upanalysis.
32.
Securityselectionrefersto
top-downanalysis.
33.
Whichofthefollowingportfolioconstructionmethodsstartswithsecurityanalysis?
Top-down
Bottom-up
Middle-out
Buyandhold
Assetallocation
34.
Whichofthefollowingportfolioconstructionmethodsstartswithassetallocation?
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