Deck 12: Gathering Investment Information

Question 1

Sorting through a list of potential investments in order to reduce the size of the group is

A) sorting.
B) filtering.
C) screening.
D) choosing.

Answer 1

screening.

Question 2

Two names that dominate stock market reference material are Standard & Poor's and

A) Mergent/Moody's.
B) Dow Jones.
C) Zacks.
D) Barron's.

Answer 2

Mergent/Moody's.

Question 3

A popular two-sided, one-page document on a specific company is the

A) Stock Guide.
B) Stock Report.
C) Earning Forecaster.
D) Bond Survey.

Answer 3

Stock Report.

Question 4

A monthly guide containing summary statistics on several thousand stocks you can carry in your pocket is the S&P

A) Stock Guide.
B) Stock Report.
C) Earning Forecaster
D) Bond Survey.

Question 5

You cannot find any information on a company in the Stock Guide. You might logically look next in the

A) yellow pages of Moody's Bond Record.
B) blue pages of Moody's Manuals.
C) green pages of the Dow Jones Averages.
D) green pages of the DJIA Information Encyclopedia.

Question 6

To receive general, non-technical information regarding a specific, established company you can request a(n)

A) 10-K report.
B) 10-Q report.
C) annual report.
D) either a or

Question 7

A _____ statement usually accompanies the announcement of an upcoming shareholder vote.

A) 10-K
B) 10-Q
C) proxy
D) rights

Question 8

Value Line ranks 1,700 stocks in which two areas?

A) timeliness and safety
B) quality and expected return
C) dividends and earnings per share
D) none of the above

Question 9

_____ is like a weekly version of the Wall Street Journal.

A) Forbes
B) Fortune
C) CNBC
D) Barron's

Question 10

A professional magazine many students of the financial markets find useful is

A) Investor's Weekly Journal
B) Financial Analysts Journal
C) Financial News Journal
D) NYSE Market Journal

Question 11

Many annual reports are available through _____ by a toll-free call.

A) Fortune
B) Forbes
C) Smart Money
D) The Wall Street Journal

Question 12

Which of the following reports filed with the Securities and Exchange Commission by public companies is filed annually?

A) Form 144
B) 10-K
C) 10-Q
D) EDGAR

Question 13

The electronic system used to file SEC reports by publicly owned corporations is called:

A) FRED
B) OSCAR
C) EDGAR
D) CRSP

Question 14

Which of the following provides concise information on many stocks per page, including stock price ranges, dividend yields, and total returns?

A) S&P Stock Report
B) SEC 10-Q Report
C) S&P Stock Guide
D) S&P Outlook

Question 15

Which of the following Mergent/Moody's publications would one find financial statements of private corporations?

A) Manuals
B) Dividend Record
C) Bond Record
D) none of the above.

Question 16

The interest paying dates of a specific bond issue can be found in

A) Moody's Manuals.
B) Moody's Bond Record
C) Moody's Dividend Record
D) none of the above.

Question 17

The buying and selling of company stock by insiders is reported to the SEC on

A) Form 144
B) Schedule 14A
C) Form 10-K
D) Form 1--Q

Question 18

A "red herring"is _____ draft of a _____ , provided to investors of to-be-issued new securities.

A) final; registration statement
B) second; annual report
C) preliminary; annual report
D) preliminary; prospectus

Question 19

Value Line reports would fall into which of the following categories of investment information?

A) financial statements
B) screening services
C) advisory letters
D) popular press

Question 20

Which of the following popular press publications is not a Dow Jones publication?

A) Investors Daily
B) Barron's
C) Smart Money
D) The Wall Street Journal

Question 21

Which of the following reports would not likely come from a company?

A) annual report
B) 10-K report
C) 10-Q report
D) S&P Corporation Record

Question 22

The S&P Stock Market Encyclopedia includes information on which of the following?

A) all public companies
B) all NYSE listed companies
C) companies in the S&P 500 index
D) both public and private company information

Question 23

The S&P Bond Guide would provide which of the following information about a company's bond issues?

A) bond rating
B) interest dates
C) current yield
D) all of the above

Question 24

Which of the following statistics is associated with the confidence in Value Line Investment Surveyestimate of company earnings?

A) Safety Ranking
B) Timeliness Ranking
C) The Guessometer
D) Recent price

Question 25

A process of selecting a few companies to analyze for possible investment is called

A) cross sectional analysis
B) trend analysis
C) timeliness ranking
D) screening

Question 26

Screening services include all of the following except

A) Value Line Investment Analyzer
B) Compustat
C) Academic Search Premier
D) Dun & Rohm Key Industry Studies

Question 27

Investment seminars are typically available from which of the following?

A) Brokerage firms
B) Bank trust departments
C) Employee relation programs
D) all of the above

Question 28

Choosing investments is a science rather than an art.

Question 29

Screening is necessary in order to reduce the security universe to a manageable size.

Question 30

Most Standard & Poor's publications have a Mergent/Moody's counterpart.

Question 31

The Stock Market Encyclopedia is a collection of S&P Stock Reports.

Question 32

Every publicly traded company issues an annual report.

Question 33

A 10-Q report is a quarterly equivalent of a 10-K.

Question 34

Value Line rates stocks on a one to ten scale.

Question 35

Value Line is predominately a technical analysis service, relying mostly on chart patterns.

Question 36

Zack's and I/B/E/S are primarily concerned with analysts' estimates of corporate earnings.

Question 37

A typical investor will find the Financial Analyst's Journal more useful than Institutional Investor.

Question 38

When using the S&P Stock Reports, there is no need to adjust prices for prior stock splits because this has already been done in the published figures.

Question 39

The Stock Guide is a large volume, while the Bond Guide is a pocket-sized publication.

Question 40

The S&P Stock Guide provides annualized total returns for a company's stock for the past 12, 36, and 60 month periods.

Question 41

The S&P Stock Guide provides more information about a company than the S&P Stock Report.

Question 42

SEC Form 144 is a prospectus.

Question 43

A "red herring"is a draft copy of a prospectus without the final issue price of the security.

Question 44

An investor using just the Expert's Approach relies on technical indicators to trigger stock trading.

Question 45

The process of screening uses prescribed criteria to select companies for further analysis.

Question 46

The S&P Stock Report is two pages of historic accounting and financial information of a company.

Question 47

A company annual report is usually a subset of the 10-K report filed with the SEC.

Question 48

A public company's 10-K SEC report can be obtained via the Internet.

Question 49

The EDGAR system provides for online submission of SEC reports.

Question 50

Stock quotations are found in the "Marketplace"section of The Wall Street Journal.

Question 51

EDGAR stands for Electronic Date Grouping, Analysis, and Retrieval, an electronic means for filing reports with the SEC.

Question 52

Dun and Bradstreet publishes Key Business Ratios.

Question 53

Public libraries carry little in the way of investment information.