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QUESTION $1$

Match the term to the definition that most closely fits

Economic Indicators

Index of Leading Economic Indicators

G$.$ ~~ Securities Index

Publicly Reported Information from SEC filings and Corporate Annual Reports

Broker

Dealer

D$.$ ~~ Discretionary Trading

Advisory Dealing

C$.$ widehat$($~~$)$ Margin Account

Custodial Account

Long Position

H$.$ ~~ Stop$-$Loss Order

Due Diligence

F$.$ hat$($~~$)$ Insider Trading

Sanction

O$.$ ~~ Years seeing implemetation of Glass Steagall Acts I and II

A$.$ ~~ SRO

B$.$ ~~ GAAP

Currency Risk

Front$-$Running

A$.$ An example of a professional organization that is able to investigate investor complaints

B$.$ Accounting principals that govern transaction reporting in the United States

C$.$ Trading may occur beyond cash available by means of a loan from the broker

D$.$ Trading whereby the broker has full power to make decisions on behalf of the client

E$.$ Firm that is trading securities for its own account

F$.$ The purchase$/$sale of investments based upon information not available to all potential investors

G$.$ Indicator that show growth$/$decline of prices in various markets

$H.$ Stocks are sold once they dip to a certain price to limit potential loss

I. One kind of information that investors use to make decisions

J$.$ These are published monthly and indicate how productive the economy is

K$.$ Concept that requires all aspects of a potential transaction must be investigated and reported to the investor

L$.$ Possibility that fluctuations of foreign currency value could be more$/$less valuable tham expected

M$.$ Agents who trade based upon client directives

N$.$ Broker provides advice to clients but the decision lies with the client

O$.1929,1933$

P$.$ Deterrance and punishment imposed upon financial markets displaying unprofessional behavior

Q$.$ A temporary trading account with different owner than manager

R$.$ Closed out upon sale of security

S$.$ Situation when a broker takes advantage of a client by putting their own interests above the client's when it comes to trading

T$.$ Used for analysis and forecasting performance