Series 79: Chapter 1 Practice Questions

Chapter 1 Practice Questions

1. 1. Which type of SEC filing would you look at to determine the holdings of a large investment manager?
2. A. Form 13F
3. B. Schedule 14A
4. C. Form 4
5. D. Form 8-K
6. 2. You are analyzing a public company and your analysis requires you to compile LTM (last 12 months) financial data for the company. Which of the following SEC filings would you typically look to for such data?
7. I. Form 10-K
8. II. Schedule 13D
9. III. Form 10-Q
10. IV. Form 3
11. A. I and II
12. B. II and III
13. C. III and IV
14. D. I and III
15. 3. Which of the following accurately describe restrictions on the relationship between investment banking personnel and research analysts?
16. I. An investment banker may not supervise a research analyst.
17. II. A firm may not retaliate against a research analyst for an unfavorable report that adversely affects the firm’s investment banking business.
18. III. An investment banker may not influence the compensation evaluations of a research analyst.
19. IV. An investment banker may not review an analyst’s research report before it is published.
20. A. I, II, III, and IV
21. B. I, II, and III
22. C. I, III, and IV
23. D. II, III, and IV
24. 4. Which of the following forms is used when a board member needs to sell shares in the company he is on the board of?
25. A. For