Which of the following securities professionals must be registered with the SEC to be able to engage in business?
a. brokers b. dealers
c. corporate officers
d. brokers and dealers
e. brokers, dealers and corporate officers
d
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Indicate whether the statement is true or false.
Lemon laws, which assist consumers who have purchased automobiles that turn out to be "lemons,":
a. are enacted by state legislatures. b. are enacted by Congress. c. are included in the warranty provisions of the UCC. d. come from common law equitable remedies.
Which of the following observations concerning introductory price dealing is true?
A. The plan is to sustain the price cut for an extended period of time. B. They are the same as low penetration prices. C. They are temporary price cuts to speed new products into a market. D. Established competitors usually choose to meet introductory price dealing. E. They have the same effect as price skimming.
Tax benefits of hedging are greater in which one of the following?
A) when the tax code is more progressive B) when a firm's pretax income is more stable C) when more of the firm's income is subject to a flat rate tax D) when the tax code is more regressive