A Broker May

question 29

Multiple Choice

A broker may:

• A)underwrite an issue of new securities.
• B)sell an issue of securities.
• C)advise companies that are considering a merger or acquisition,regardless of its size.
• D)either underwrite or sell an issue of securities or both.

---

Definitions:

OLTP

Online Transaction Processing, a class of systems that facilitates and manages transaction-oriented applications, typically for data entry and retrieval transaction processing.

Historical Data

Data concerning past events and transactions that are stored and analyzed for trends, forecasting, and making decisions.

Explicit Knowledge

Knowledge that is easily communicated and shared, typically in the form of documents, manuals, or any documented procedure.

Organization's Culture

The shared values, beliefs, attitudes, and practices that characterize an organization, influencing its people and how work is conducted.