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financial markets institutions

Questions and Answers of Financial Markets Institutions

LG 17-2. Distinguish between long-term mutual funds and money market mutual funds.
3. What the trends as to the number of mutual funds have been since 1980?
4. What the three largest mutual fund companies are? How have their funds performed in recent years?
5. What the difference is between open-end and closed-end mutual funds?
13. How the regulatory status of hedge funds is changing?
12. What performance fees are charged by hedge funds?
11. What the difference is between a mutual fund and a hedge fund?
10. What the trends have been in the assets invested in worldwide mutual funds during the 1990s and 2000s?
9. How the NSMIA affected mutual funds?
8. Who the primary regulator of mutual fund companies is?
7. How the asset distribution for money market mutual funds and long-term mutual funds differs?
6. What the major assets held by mutual funds have been in the 1990s and 2000s?
LG 17-1. Examine how and why the mutual fund industry has grown through time.
2. Is the flow of funds into these two types of pension funds currently positive or negative? Why would these trends occur?Go to the Federal Reserve Board’s Web site at www.federalreserve.gov. Find
10. What are the major assets held by private pension funds in 1975 versus 2010? Explain the differences. (LG 18-1)
8. Describe the "pay as you go" funding method that is used by many federal and state or local govemment pension funds. What is the problem with this method that may damage the long-term viability of
12. What was the motivation for the passage of ERISA? (LG 18-5)
13. Describe the major features of ERISA. (LG 18-5)
1. How has the flow of funds to defined benefit and defined contribution pension funds changed since 2010 as reported in Figure 18–2 ?Go to the Federal Reserve Board’s Web site at
5. An employer uses a final pay formula to determine retirement payouts to its employees. The annual payout is 3 percent of the average salary over the employees’ last three years of service times
4. U sing a Spreadsheet to Calculate Pension Benefit Payments: Your employer uses a final pay formula to determine retirement payments to its employees.You have 20 years of service at the company and
3.Using a Spreadsheet to Calculate Pension Benefit Payments: Your employer uses a career average formula to determine retirement payments to its employees.You have 20 years of service at the company
2. An employer uses a career average formula to determine retirement payments to its employees. The annual retirement payout is 5 percent of the employees’ career average salary times the number of
10. The pension reforms undertaken in other countries?
LG 18-3. Identify the characteristics and calculate the benefits from the different types of private pension funds.
LG 18-2. Distinguish between and calculate the benefits from a defined benefit and a defined contribution pension fund.
LG 18-1. Describe the difference between a private pension fund and a public pension fund.
2. How has each of these changed since 2010 as reported in Table 17–1 ?Go to the Investment Company Institute Web site and find the latest information available for Total Net Assets, Number of
1. What is the most recent value for Total Net Assets, Number of Funds, and Number of Shareholder Accounts?Go to the Investment Company Institute Web site and find the latest information available
LG 18-4. Identify the different types of public pension funds.
LG 18-5. Examine the main regulations governing pension funds.
LG 18-6. Review the major issues for pension funds in the global markets.
9. How retirement systems in other countries vary?
8. What the major features introduced by ERISA are?
7. Why ERISA was passed?
5. What the major financial assets held by private pension funds are?v6. What the major financial assets held by public pension funds are?
4. What the major federally sponsored pension funds are?
3. What a defined contribution pension fund is?
2. What the differences are between a flat benefit and final pay benefit formula for a defined benefit pension fund?
1. What the difference is between an insured and a noninsured pension fund?
3. How has the distribution of underwriting activity changed since 2010, as reported in Table 16–6 ?Go to the Securities Industry and Financial Markets Association Web site at www.sifma.org and
2. The trend in the number of securities firms and investment banks since 1980?
15. How do increases in unexpected inflation affect P&C insur- ers? (LG 15-5)
14. What are the three sources of underwriting risk in the P&C industry? (LG 15-5)
13. How have P&C industry product lines based on net premi- ums written by insurance companies changed over time? (LG 15-5)
1. How securities firms and investment banks fit into the intermediation process?
LG 16-4. Know the main regulators of securities firms and investment banks
LG 16-3. Differentiate among the major assets and liabilities held by securities firms.
LG 16-2. Understand the major activity areas in which securities firms and investment banks engage.
LG 16-1. Know the different types of securities firms and investment banks.
2. How have these values changed since 2009 as reported in Table 15–8 ?Go to the Insurance Information Institute’s Web site at www.iii.org and use the following steps to find the most recent data
1. What are total revenues and assets of the top 10 life insurance companies? Property–casualty companies?Go to the Insurance Information Institute’s Web site at www.iii.org and use the following
12. What are the two major lines of property-casualty (P&C) insurance firms? (LG 15-5)
11. How do life insurance companies eam profits? (LG 15-3)
9. What the components of the combined ratio are?
8. What the main lines of insurance offered by P&C insurers are?
7. Why life insurers’ assets are, on average, longer in maturity than P&C insurers’ assets?
6. Why P&C insurers hold more capital and reserves than life insurers do?
5. Who the main regulators of the life insurance industry are?
4. What the major source of life insurance underwriting risk is?
3. Why life insurance companies invest in long-term assets?
2. What the different forms of ordinary life insurance are?
10. How the operating ratio differs from the combined ratio?
11. Why the combined ratio tends to behave cyclically?
1. The difference between a life insurance contract and an annuity contract?
2. What is the distribution of underwriting by type of security underwritten (e.g., straight corporate debt, convertible debt, etc.)?Go to the Securities Industry and Financial Markets Association
18. What was the largest single asset and largest single liability of securities firms in 2010? (LG 16-3)19. What benefits could a commercial banker obtain by getting into the investment banking
17. How did the financial crisis affect the performance of secu- rities fins and investment banks? (LG 16-3)
15. What three factors accounted for the resurgence in profits for securities firms from 1991 to 2000? (LG 16-3)
14. Why have brokerage commissions earned by securities firms fallen since 1977? (LG 16-2)
13. How do agency transactions differ from principal transac- tions for market makers? (LG 16-2)
23. What was the significance of the National Securities Mar- kets Improvement Act of 1996? (LG 16-4)
1. What is the most recent level of total U.S. underwriting activity?Go to the Securities Industry and Financial Markets Association Web site at www.sifma.org and find the most recent data on U.S.
25. What have been the trends in global securities trading and underwriting in the 1990s and early 2000s? (LG 16-3)
11. What are the advantages and disadvantages to a new or small firm of getting capital funding from a venture capital finn? (LG 16-2)
9. What is venture capital? (LG 16-2)
11. What the major result of NSMIA is?
10. Why broker-dealers tend to hold less equity capital than do commercial banks and thrifts?
9. What the major assets held by broker-dealers are?
8. What the trend in profitability in the securities industry has been over the last 20 years?
7. What the six trading activities performed by securities firms are?
6. What the difference is between a best efforts and a firm commitment offering?
5. What the key areas of activities for securities firms are?
4. What the difference is between brokerage services and underwriting services?
12. What regulatory changes resulted from the financial crisis?
13. What the trends in foreign transactions in U.S. securities and U.S. transactions in foreign securities in the 1990s and 2000s have been?
14. What the trends in international securities offerings in the late 1990s and 2000s have been?
8. How does a best efforts underwriting differ from a firm com- mitment underwriting? If you operated a company issuing stock for the first time, which type of underwriting would you prefer? Why
6. Explain the difference between the investing and investment banking activities performed by securities finns and invest- ment banks. (LG 16-2)
3. What categories of firms exist in the securities firm and investment banking industry?
LG 1-1. Differentiate between primary and secondary markets.
LG 1-2. Differentiate between money and capital markets.
LG 1-3. Understand what foreign exchange markets are.
LG 1-4. Understand what derivative security markets are.
LG 1-5. Distinguish between the different types of financial institutions.
LG 1-6. Know the services financial institutions perform.
LG 1-7. Know the risks financial institutions face.
LG 1-8. Appreciate why financial institutions are regulated.
LG 1-9. Recognize that financial markets are becoming increasingly global.
1. The difference between primary and secondary markets?

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