FIN 494 Final Exam Review.docx - FIN 494 Final Exam Review 1 2 3 4 5 6 7 Fiduciary Obligations money managers brokers etc Know what it is How Index

FIN 494 Final Exam Review.docx - FIN 494 Final Exam Review...

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FIN 494 Final Exam Review 1. Fiduciary Obligations money managers, brokers, etc. Know what it is 2. How Index Funds Weight Companies updated by the minute 3. Brokers Fiduciary Duty Same as Fiduciary Obligations 4. EMEA Europe?, Middle East, Africa 5. Title VII Dodd Frank 6. FSOC Financial Stability Oversight Council – Part of the Dodd Frank Act. 7. IT bringing B&S together (what is it) Information Technology (IT), represents electronic trading. 8. Maker/Taker pricing Maker provides liquidity to the market place, who offer stocks or offer bids, Taker is the ones who take the offer or hit the bids. They both are paid money by the exchange. 9. Privatization sells to the public, privatize government business 10. HFT use what type of models algorithms 11. Characteristics small cap stocks How big. Way more volatile and risky. Look in your notes. 12. Rule 605 require market centers, exchanges, dealers, and dark pools to provide detailed reports of the orders they receive and the outcome of those orders.
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