兽读烫十淋咸迁枫摧铜佛测嚎
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起止时间:2020-11-06到2021-01-31
更新状态:已完结
01 Overview of Investment Banking Test 1
1、 Generally speaking, services offered by investment banks may include______.
A: Underwriting securities and advisory on mergers and acquisitions
B: Asset management
C:Trading
D: All of the above
答案: All of the above
2、 The main business of a commercial bank is______.
A:Financial planning
B:Financial advisory
C:Deposit-taking and loan issuance
D:Initial public offering (IPO)
答案: Deposit-taking and loan issuance
3、 Sometimes investment banks are narrowly defined as financial institutions engaged in___, which are/is the traditional businesses of investment banks.
A:Underwriting securities
B:Advisory on mergers and acquisitions
C:Trading
D:Both A and B
答案: Both A and B
4、 Historically, U.S. commercial banks were barred from operating investment bank business as was ruled by_____. This act was overturned by___, which allows a commercial bank to operate both commercial and investment banking business.
A:Glass-Steagall Banking Act; Dodd Frank Act
B:Glass-Steagall Banking Act; Financial Services Modernization Act
C:Financial Services Modernization Act; Glass-Steagall Banking Act
D:Financial Services Modernization Act; Dodd Frank Act
答案: Glass-Steagall Banking Act; Financial Services Modernization Act
5、 Banks that operate both investment banking and commercial banking businesses are called______.
A:Retail banks
B:Pure-play banks
C:Universal banks
D:Merchant banks
答案: Universal banks
6、 Global investment banks typically have three business divisions, including investment banking division, trading division, and asset management division. _______is responsible advising on mergers and acquisitions.
A:The investment banking division
B:The trading division
C:The asset management division
D:All of the above
答案: The investment banking division
7、 ___bankers help clients raise funds through the issuance of common stocks. _________bankers help clients raise funds through the issuance of both investment grade and non-investment grade bonds.
A:Equity capital market (ECM); Debt capital market(DCM)
B:Debt capital market(DCM); Equity capital market (ECM);
C:Capital market; Client coverage
D:Client coverage; Capital market
答案: Equity capital market (ECM); Debt capital market(DCM)
8、 Investment banks can help both corporations and governments raise money by issuing securities
A:正确
B:错误
答案: 正确
9、 Boutique investment banks usually offer a full set of investment banking businesses.
A:正确
B:错误
答案: 错误
分析：Boutique investment banks only offer a limited list of investment banking services.
10、 The M&A group bankers provide “buy side” services that involve the purchase of a part or the entire of a company. They also provide “sell side” services that involve the disposition of company asset
A:正确
B:错误
答案: 正确
02 History and Regulations Test 2
1、 When Franklin Roosevelt took office in 1933, several pieces of laws were passed, including_____. These laws significantly changed the landscape of the investment banking industry.
A:Securities Act of 1933
B:Securities and Exchange Act of 1934
C:Glass-Steagall Act of 1933
D:All above
答案: All above
2、 The main purposes of Securities Act of 1933 include_______.
A:Regulating disclosure in security issuance
B:Prohibiting deceit, misrepresentations, and other fraud in the sale of securities
C:Establishing an early warning system of financial crisis
D:Both A and B
答案: Both A and B
3、 According to Securities Act of 1933, before a security can be sold to public investors in the U.S., _____must be submitted to the Securities and Exchange Commission (SEC).
A:A valuation report
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