University of Alabama

FIN 101

Chapter 10 Knowledge Check

1)investing behavior may become unethical because

 

 

 

 

 

 

 

2. An account in which you essentially borrow from the broker to invest and must cover a minimum percentage of the investment with cash is called a

 

 

 

 

 

3. An annual report is a company’s story about how it is doing and includes

 

 

 

 

 

 

 

4. Foreign regulatory environments may lack

 

 

 

 

 

5. Firms that trade on behalf of both the clients and the firm’s account are

 

 

6. If the broker makes investment decisions and trades on behalf of the client, this is

 

 

 

7. The health of financial markets is gauged by the

 

 

 

 

8. If you place a                                  to buy shares of stock, you specify how long the order is in effect.