PART 1 - MULTIPLE CHOICE QUESTIONS ( 2.5 mark) 1. Financial asset is considered as a package of three main attributes: A. Return, risk and liquidity B. Retum, liquidity and voting right C. Retum, risk and voting right D. Risk, liquidity and voting right 2. A primary market transaction means: A. Businesses and governments issue financial instruments B. Funds are obtained by the issuer C. It creates a new financial instrument D. A, B, C 3. Callable bonds A. Give the firm the option to repurchase the bond from the holder at a stipulated call price. B. Give the bondholder the option to convert each bond into a stipulated number of other bonds issued by the firm C. Give the firm the option to convert each bond into a stipulated number of other bonds issued by the firm (D. A, B, C 4. Mr. A sells a Call option with a strike price of ( 50.000 mathrm{VND} / ) share expiring in a month's time is being priced at ( 4000 mathrm{VND} ). If the contract is exercised at the price of ( 62.000 mathrm{VND}, mathrm{Mr} ). A's net profit/loss will be: A. 5.000 VND (B) ( -8.000 mathrm{VND} ) D. ( -10.000 mathrm{VND} ) 5. The issue of new shares with share purchase rights to current shareholders in a company will not change: Ats share price -B. The number of outstanding shares C. Charter capital D. Shareholders's ownership percentage 6. Best efforts underwriting means: (A) The underwriter agrees to use all efforts to sell as much of an issue as possible to the public. B. The underwriter agrees to purchase the portion of the new securities issue that remains after a public offering C. The underwriter makes a commitment to the issuing company to purchase all shares being offered D. ( mathrm{A}, mathrm{B}, mathrm{C} ) 7. A bond investor is exposed to be suffered from: (A) Interest rate risk B. Reinvestment risk C. Purchasing power risk D. All of the above 8. Which of the following is a wrong answer for the blank in the statement: "Primary stock market is a market which helps A. Mobilize funds for issuers B. Increase currency in circulation C. Increase the economy's investment volume (D) Create an investment environment for investors

PART 1 - MULTIPLE CHOICE QUESTIONS (2.5 mark) 1. Financial asset is considerod as a package of three main auributes: (A) Retum, risk and liquidity B. Retum, liquidity and voting right C. Retum, risk and voting right D. Risk, tiquidity and voting right 2. A primary market transaction means: A. Businesses and governments issue financial instruments B. Funds are obtained by the issuer C. It creates a new financial instrument D. A, B, C 3. Callable bonds A. Give the firm the option to repurchase the bond from the holder at a stipulated call price. B. Give the bondholder the option to convert each bond into a stipulated number of other bonds issued by the firm C. Give the firm the option to convert each bond into a stipulated number of other bonds issued by the firm (D. A, B, C 4. Mr. A sells a Call option with a strike price of 50.000VND/ share expiring in a month's time is being priced at 4000 VND. If the contract is exercised at the price of 62.000VND,Mr. A's net profit/loss will be: A. 5.000VND (B) 8.000VND D. 10.000VND 5. The issue of new shares with share purchase rights to current shareholders in a company will not change: Its share price B. The number of outstanding shares C. Charter capital D. Shareholders's ownership percentage 6. Bestefforts underwriting means: (A) The underwriter agrees to use all efforts to sell as much of an issue as possible to the public. B. The underwriter agrees to purchase the portion of the new securities issue that remains after a public offering C. The underwriter makes a commitment to the issuing company to purchase all shares being offered D. A, B, C 7. A bond investor is exposed to be suffered from: (A) Interest rate risk B. Reinvestment risk C. Purchasing power risk D. All of the above 8. Which of the following is a wrong answer for the blank in the statement: "Primary stock market is a market which helps A. Mobilize funds for issuers C. Increase the economy's investment volume B. Increase currency in circulation D) Create an investment environment for investors 9. Residual elaim means: A. stockholders are the last in line of all those who have a claim on the assets and income of the corporation B. stockholders are the first in line of all those who have a claim on the assets and income of the corporation C. stockholders are the first in line of all those who have a voting right of the corporation D. stockholders are the last in line of all those who have a voting right of the corporation 10. Initial public offering A. An offer to investors of ordinary shares in a company for the first time B. New issues are offered by companies that already have floated equity. C. An issue that is sold to a few wealthy or institutional investors at most D. ABC