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Multiple Choice Quiz
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1
The first task of investor relations is to
A)create and maintain investor confidence.
B)obtain support from SEC members.
C)file and distribute paperwork to various stock exchanges.
D)meet with company financial officers to strategize.
2
Objectives of investor relations do not include which of the following?
A)building interest in the company
B)winning stockholder approval for the company
C)maintaining secrecy about company finances
D)stabilizing stock prices
3
The 10-Q quarterly report includes which of the following?
A)corporations' summarized profit and loss statement
B)capitalization and stockholder's equity
C)sale of unregistered securities
D)all of the above
4
The American Stock Exchange considers which of the following likely to require prompt disclosure?
A)joint venture, merger or acquisition
B)stock split or stock dividend
C)significant litigation
D)all of the above
5
The proxy fight involves
A)using proxies to exchange allegations in the financial press.
B)using third parties to lobby for special treatment by government regulatory agencies.
C)an attempt to replace the board of directors with proxies following the annual meeting.
D)attempts to acquire the proxy votes of shareholders.
6
The tender offer is
A)an offer to buy stock above the going rate.
B)a "soft" offer to buy a company by individuals who have no intention of making the purchase.
C)when securities dealers invite their friends to participate in insider trading.
D)an unethical attempt to extort financial information in exchange for favorable publicity.
7
Which of the following is NOT a financial analyst?
A)investment counselor
B)fund manager
C)financial beat reporter
D)institutional buyer
8
The SEC v. Texas Gulf Sulphur Co. case was significant for financial relations specialists because it found that Rule 10B-5 applied to
A)annual reports.
B)press releases.
C)brochures.
D)annual meetings.
9
The Securities Act of 1933 was passed to
A)secure adequate publicity of public information.
B)act promptly to dispel unfounded rumors.
C)distribute nationally news or matters of corporate significance.
D)provide full and fair disclosure of the character of securities.
10
The Sarbanes-Oxley Act of 2002 is responsible for which of the following?
A)establishing new standards of accounting for publicly held companies
B)requiring independent auditing
C)larger fines and criminal penalties for failing to accurately disclose financial information
D)all of the above





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