A. Broker B. Capital gains C. Convertible stock D. Common stock E. Cumulative voting F. Dealer G. Debenture H. Dividend 1. Preemptive rights J. Preferred stock K. Primary L. Seasoned offering M. Secondary N. Straight voting 0. Warrant 1. Ernst & Frank is listed on the NASDAQ exchange and is planning to issue new shares to the public. This sale would be considered a 2. The New York Stock Exchange is an example of a(n) market in which outstanding shares are traded, while new common stock issues are handled through the market. (This question obviously has 2 answers. They must be in the correct order and both must be correct for credit.) 3. An agent who maintains an inventory from which he or she buys and sells securities is called a 4. The expected total return on a constant-growth stock is the sum of the expected yield and the expected yield. (There are obviously 2 answers to this question also, but there is no particular order for them.)