5. The term issuer most often refers to: A A corporation seeking to raise additional capital for expansion or modernization purposes B A business which prints up securities certificates such as bonds and stocks C A business which has satisfied the listing requirements of one or more approved stock exchanges D A business, a municipality, or a federal governmental entity which is seeking to raise capital from the sale of securities.

6. Every publicly-traded corporation is required to have a transfer agent and a registrar. The primary distinction between the two is: A They are not different --- they perform the same function B The registrar keeps the record of all stock and bond holders C The transfer agent transmits the payment for securities from the purchaser to the seller in all secondary market trades. D The transfer agent ensures that dividend payments go out to all registered owners of record on the payable date.

7. One of the more attractive features of common stock is that: A One cannot lose more than one's investment B The stockholders have the right to vote on quarterly dividends C The stockholders have the right to choose Officers D Any of the above