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11.The 40% margin rule requires the buyer/seller of a security to provide at least 60% of the               funds necessary to cover the transaction, borrowing 40%.

 

12.Venture capital firms compete with commercial banks for new business loans.

 

13.Security brokers and dealers obtain most of their funds from customers and banks.

 

14.Venture capital recipients are often called angels.

 

15.Seed financing is the first stage of venture capital financing.

 

16.Under the Glass-Steagall Act commercial banks were permitted to underwrite and trade               Federal government securities and general obligation bonds of states and municipalities.

 

17.Before the Financial Services Modernization Act of 1999, the Supreme Court (1988) of               the U.S. provided commercial banks permission to underwrite commercial paper and               municipal revenue bonds but not equities.

 

18. SEC Rule 144A permitted borrowers in private placements the opportunity to trade their               obligations.

 

19.Mezzanine or bridge financing is the interim financing before public offerings of securities.

 

20. A best efforts sale of securities is likely to generate more revenue for the investment               banker than an equivalent underwriting of securities.

 

 

 

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