2020 投资银行学（英）(西南财经大学) 最新满分章节测试答案

文章目录[隐藏]

01 Overview of Investment Banking Test 1
02 History and Regulations Test 2
03 Equity Capital Market Financing-Part 1 Test 3

本答案对应课程为:点我自动跳转查看
本课程起止时间为:2020-11-06到2021-01-31

01 Overview of Investment Banking Test 1

1、问题:Generally speaking, services offered by investment banks may include______.
选项：
A: Underwriting securities and advisory on mergers and acquisitions
B: Asset management
C:Trading
D: All of the above
答案: 【 All of the above】

2、问题:The main business of a commercial bank is______.
选项：
A:Financial planning
B:Financial advisory
C:Deposit-taking and loan issuance
D:Initial public offering (IPO)
答案: 【Deposit-taking and loan issuance】

3、问题:Sometimes investment banks are narrowly defined as financial institutions engaged in___, which are/is the traditional businesses of investment banks.
选项：
A:Underwriting securities
B:Advisory on mergers and acquisitions
C:Trading
D:Both A and B
答案: 【Both A and B】

4、问题:Historically, U.S. commercial banks were barred from operating investment bank business as was ruled by_____. This act was overturned by___, which allows a commercial bank to operate both commercial and investment banking business.
选项：
A:Glass-Steagall Banking Act; Dodd Frank Act
B:Glass-Steagall Banking Act; Financial Services Modernization Act
C:Financial Services Modernization Act; Glass-Steagall Banking Act
D:Financial Services Modernization Act; Dodd Frank Act
答案: 【Glass-Steagall Banking Act; Financial Services Modernization Act】

5、问题:Banks that operate both investment banking and commercial banking businesses are called______.
选项：
A:Retail banks
B:Pure-play banks
C:Universal banks
D:Merchant banks
答案: 【Universal banks】

6、问题:Global investment banks typically have three business divisions, including investment banking division, trading division, and asset management division. _______is responsible advising on mergers and acquisitions.
选项：
A:The investment banking division
B:The trading division
C:The asset management division
D:All of the above
答案: 【The investment banking division】

7、问题:___bankers help clients raise funds through the issuance of common stocks. _________bankers help clients raise funds through the issuance of both investment grade and non-investment grade bonds.
选项：
A:Equity capital market (ECM); Debt capital market(DCM)
B:Debt capital market(DCM); Equity capital market (ECM);
C:Capital market; Client coverage
D:Client coverage; Capital market
答案: 【Equity capital market (ECM); Debt capital market(DCM)】

8、问题:Investment banks can help both corporations and governments raise money by issuing securities
选项：
A:正确
B:错误
答案: 【正确】

9、问题:Boutique investment banks usually offer a full set of investment banking businesses.
选项：
A:正确
B:错误
答案: 【错误】

10、问题:The M&A group bankers provide “buy side” services that involve the purchase of a part or the entire of a company. They also provide “sell side” services that involve the disposition of company asset
选项：
A:正确
B:错误
答案: 【正确】

02 History and Regulations Test 2

1、问题: When Franklin Roosevelt took office in 1933, several pieces of laws were passed, including_____. These laws significantly changed the landscape of the investment banking industry.
选项：
A:Securities Act of 1933
B:Securities and Exchange Act of 1934
C:Glass-Steagall Act of 1933
D:All above
答案: 【All above】

2、问题:The main purposes of Securities Act of 1933 include_______.
选项：
A:Regulating disclosure in security issuance
B:Prohibiting deceit, misrepresentations, and other fraud in the sale of securities
C:Establishing an early warning system of financial crisis
D:Both A and B
答案: 【Both A and B】

3、问题:According to Securities Act of 1933, before a security can be sold to public investors in the U.S., _____must be submitted to the Securities and Exchange Commission (SEC).
选项：
A:A valuation report