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What is a derivative? What are the different types of derivatives? How do
businesses use derivatives to mitigate risks?
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FIN 402 Week 1 Individual Problem Set
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The Problem Set is provided to you to enable you to practice the concepts
outlined in the textbook. Select THREE completed problems from the
assignment and post your solutions to those problems.
1. Creating prices for securities and allowing for liquidity are functions of
2. Which of the following best describes the function of an investment banker
selling an issue on a "best efforts" basis?
3. From the investment banker's point of view, the major reason syndicates
are formed in the distribution of large issues is for the purpose of
4. ___________ has two major functions: to handle special orders, such as
purchases with a price contingency; and to maintain continuous, liquid,
orderly markets
5. The Securities Investor Protection Corporation (SPIC) was established to
6. In order to be listed on an exchange, a firm must meet minimum standards
pertaining to the following criteria: