4-39 Which of the Following Differentiates Securities Firms from Investment

question 29

Multiple Choice

4-39 Which of the following differentiates securities firms from investment banks?

• A)Securities firms are concerned with the commercial side of the business while investment banks are concerned with the retail side of the business.
• B)Securities firms assist in trading of existing securities while investment banks specialize in underwriting new securities.
• C)Securities firms underwrite new issues of securities while investment banks provide brokerage services.
• D)Securities firms originate new issues of securities and investment banks underwrite the securities.
• E)Securities firms are concerned with private placements of securities whereas investment banks are concerned with publicly traded securities.

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