==================================================== FIN 402 Week 1 Individual Weekly Question For more course tutorials visit www . uophelp . com
The Problem Set is provided to you to enable you to practice the concepts outlined in the textbook . Select THREE completed problems from the assignment and post your solutions to those problems .
1 . Creating prices for securities and allowing for liquidity are functions of
2 . Which of the following best describes the function of an investment banker selling an issue on a " best efforts " basis ?
3 . From the investment banker ' s point of view , the major reason syndicates are formed in the distribution of large issues is for the purpose of
4 . ___________ has two major functions : to handle special orders , such as purchases with a price contingency ; and to maintain continuous , liquid , orderly markets
5 . The Securities Investor Protection Corporation ( SPIC ) was established to
6 . In order to be listed on an exchange , a firm must meet minimum standards pertaining to the following criteria :
==================================================== FIN 402 Week 1 Individual Weekly Question For more course tutorials visit www . uophelp . com
Submit your Weekly Questions , with original questions , in a Microsoft Word or text file . Be sure to show your work to earn full credit .
Do not use Investopedia , About . com , Wikipedia , or other generic internet websites as sources . Use credible sources only .