Questions from Financial Markets


Q: How does a public offering differ from a private placement?

How does a public offering differ from a private placement?

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Q: What is the difference between an open-end mutual fund and

What is the difference between an open-end mutual fund and an ETF closed-end fund? What is the difference between an open-end mutual fund and a unit investment trust?

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Q: What change in regulatory guidelines occurred in 2009 that had the primary

What change in regulatory guidelines occurred in 2009 that had the primary purpose of giving investors a better understanding of the risks and objectives of a mutual fund?

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Q: What are the three components of the return that an investor receives

What are the three components of the return that an investor receives from a mutual fund?

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Q: How is the net asset value (NAV) of a mutual

How is the net asset value (NAV) of a mutual fund determined? What is meant by the term marked-to-market daily?

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Q: How might an individual’s preference for a mutual fund’s objective change over

How might an individual’s preference for a mutual fund’s objective change over time?

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Q: What is the difference between a load fund and a no-

What is the difference between a load fund and a no-load fund? Is the argument that load funds are more closely managed and therefore have higher returns supported by the evidence presented in Table 1...

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Q: What is a 12b-1 fee? Suppose that you have

What is a 12b-1 fee? Suppose that you have a choice between two mutual funds, one a load fund with no annual 12b-1 fees, and the other a no-load fund with a maximum 12b-1 fee. How would the length of...

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Q: Why did the proportion of equities in long-term mutual funds

Why did the proportion of equities in long-term mutual funds increase from 38.3 percent in 1990 to 70.0 percent in 2007 and decrease back to 55.5 percent in 2008? How might an investor’s preference fo...

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Q: Who are the primary regulators of the mutual fund industry? How

Who are the primary regulators of the mutual fund industry? How do their regulatory goals differ from those of other types of financial institutions?

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