Which of the following is an example of a dealer market?

1. NASDAQ
2. AMEX
3. NYSE
4. None of the above

If you currently have a short position in a stock (and you want to stay short while the trade is positive), what type of order would you place to protect yourself from potential

losses if your position starts to go against you?

A.) market order

B.) limit buy

C.) limit sell

D.) stop sell

E.) stop buy

F.) None of the above

__________ is a financial firm or broker that is making buy or sell recommendations that are financially in your best interest.

A.) A broker-dealer

B.) A fiduciary

C.) An online broker

D.) A full service broker

Which of the following would not typically result in a correction to a market cap weighted index?

A.) One company is deleted from the index, while another company is added to the index

B.) A company listed in the index offers new shares to the public

C.) A company listed in the index splits its stock 3-1

D.) None of the above