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提问人：网友network2008 发布时间：2022-01-07

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A dealer in the securities market is an individual or firm that buying and selling securities for their own account、

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更多“A dealer in the securities market is an individual or firm that buying and selling securities for th…”相关的问题

第1题

Which of the following statement is incorrect______、

A、Financial analysts examine financial data、

B、Financial analysts help clients to make investment decisions、

C、Financial analysts provide assistance for institutions and individuals、

D、There are many different financial analysts roles、

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第2题

【单选题】Bob, a fund manager, is seeking to sell a large position in fairly illiquid stock. He buys and sells shares of the stock between that fund and another he also manages to create an appearance of activity and higher stock price, so that the sale of the whole position. Bob most likely violates ______.

A、professional

B、manipulate the market

C、loyalty to employer

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第3题

An agent is an individual who engages in the buying and selling of financial assets such as stocks、

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第4题

Which is not the characteristic of financial product?

A、invisible

B、value is based on information and credit

C、with practical value

D、big social impact

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第5题

【单选题】James, a well-known analyst, made a “buy” recommendation for Microsoft. He sent the research report to some of his client at first, and then disclosed to other client. James most likely violates ______.

A、professional

B、loyalty to employer

C、loyalty to client

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第6题

Ethics is same as law.

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第7题

Which is not one of the characters of bond？

A、Face Value

B、Price

C、Coupon

D、Issuer

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第8题

Holders of common stock in a company ______、

A、have rights to a company's assets only after bondholders

B、exercise control by electing a board of directors

C、have right to vote on corporate policy

D、All of the above

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第9题

A stock is a type of security that signifies ownership in a corporation、

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第10题

______are common shares traded on the Chinese Shanghai Stock and Shenzhen Stock Exchange which are traded in foreign currencies、

A、A shares

B、B shares

C、H shares

D、N shares

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