1.Which of the following is a function of Origination?.
ASources deals
B.Sells securities in the secondary market
C.Works closely with IBD
D.Underwrites Debt and Equity
E.“C” and “D”
F.“B” and “D”
2.Select all the statements that are true about Secondary Markets only.
A.The Beneficiary of trade process is the issuing Corporation
B.Corporation sets a fixed price for investors
C.Security prices are always fluctuating as supply, demand, and other factors influence movement
D.All except “A”
3.In what type of market transaction does the issuing corporation receive cash proceeds?
A.Secondary Market only
B.Only in private transactions
C.Both Primary and Secondary Markets
D.Primary Market only
4.Which of the following statements is true about buy-side firms and primary markets?
A.Buy-side firms do not participate in primary markets in any way
B.Buy-side firms participate in primary markets by buying new issue securities from broker/dealers
C.Buy-side firms assist in bringing new issue securities to market by underwriting equity or bond deals
D.“A” and “B” are correct answer
5.What is the best description of the role of Research teams on the sell-side?
A.To call bank clients daily to touch base, give market commentary, and inquire if they would like to execute any trades
B.To pool investors’ money into a fund and invest in high-growth startups of all stages, help nuture growth, and exit profitably
C.To provide deep analysis and insights on companies, and entire industries for bank clients, as well as its internal Sales & Trading team
D.To be market makers on securities and manage trading flow for the bank in a profitable way
6.Which of the following are considered Traditional buy-side firms? Select ALL correct answers
A.Venture Capital
B.Hedge Funds
C.Mutual Funds
D.National pension funds
E.“C” and “B”
F.“C” and “D”
7.What is the best description of the role of a Capital Markets Salesperson?
(Ex. Equity Sales, Fixed Income Sales)
A.To be the relationship manager and gatekeeper for buy-side clients
B.To be a market maker on securities, providing quotes on price and size for trades to clients
C.To provide deep financial analysis on companies and publish regular publications for buy-side clients
D.To work with their respective Debt or