Name: 12. mutual fund. 13. Trades lead to 14. Reg NMS stands for 15. The NYSE is a 4 16. The Finance 3830 Problem Set 1 are typically more risky than a auction market. in the market. National Market System. Rule improves access to price quotes from trading centers in the 17. Examples of a closed and/or open-end fund "brand names" include and 18. If the firm's TIE ratio declines, this indicates the firm can now pay its interest expenses times over than before the decline. 19. Managed investment companies are 20. Prior to 2008, designated market makers were called managed. 21. is an example of a self-regulatory agency allowed to earn revenue under the Market Data Rule portion of Reg NMS. 22. A trade is any trade over 10,000 shares. 23. Research shows that both form efficiency and form efficiency are false.