A new customer, age 45, has been terminated from his assembly-line job of the past 20 years at an automotive parts supplier. During that time period, he has accumulated $124,000 in the company's 401(k) plan. He wishes to rollover the funds to an IRA account with your brokerage firm. This customer, who is an unsophisticated investor, has the entire 401(k) invested in a growth mutual fund and has no other investments. As the representative for this customer, you should be concerned about:________

Answers

Answer 1

Answer:

communicating effectively with an unsophisticated customer in an understandable manner to assess financial goals and risk tolerance

Explanation:

The new customer who has accumulated $124,000 in his company's 401(k) plan wants to rollover his funds with a brokerage firm.

However he only invested in a growth mutual fund.

This is a scenario that could lead to total loss for the customer if the growth mutual fund fails. A better approach would have been to invest in more than one option.

The first action should be to communicate effectively with the unsophisticated customer in an understandable manner to assess financial goals and risk tolerance.

Based on his Prefered objectives an investment plan can be recommended for him


Related Questions

on march 1 shipley resources entered into an agreement with the state of alaska to obtain rights 6 million 100,000 tons of mineral how much accretion expense will the company record in its income statement

Answers

Answer:

Hello your question is incomplete below is the complete question:

On March 1, 2018, Shipley Resources entered into an agreement with the state of Alaska to obtain the rights to operate a mineral mine for $6 million. The mine is expected to produce 100,000 tons of mineral. As part of the agreement, Shipley agrees to restore the land to its original condition after mining operations are completed in approximately five years. Management has provided the following possible outflows for the restoration costs that will occur five years from now:

Cash Outflow            Probability

$      300,000             25 %

        400,000              50 %

         500,000              25%            

Shipley's credit-adjusted risk-free interest rate is 10%. During 2018, Shipley extracted 18,000 tons of ore from the mine. How much accretion expense will the company record in its income statement for the 2018 fiscal year?

A) $30,326.

B) $20,697.

C) $24,837.

D) $27,294.

answer : $20697 (B)

Explanation:

Determine how much accretion expense the company will record in its income statement

from the table

cash flow : $300000 * 25% = $75000

                  $400000 * 50% = $200000

                  $500000 * 25% = $125000

At the present value of $1,

number of years (n) = 5

interest (i) = 10% = 0.1

2018 accretion expense will be calculated as

($400000 * 0.62092) * 0.10 * 10/12 = $20697

Dividends paid to a company's own stockholders of $80,000 would be shown on the company's statement of cash flows prepared under the indirect method as: Select one: a. an addition of $80,000 under investing activities. b. a deduction of $80,000 under investing activities. c. an addition of $80,000 under financing activities. d. a deduction of $80,000 under financing activities.

Answers

Answer: d. a deduction of $80,000 under financing activities.

Explanation:

Under the indirect method of showing cashflows, there are 3 sections being the Operating section, the investing section and the financing section.

The relevant section is the financing section. Financing activities are those transactions that relate to the business raising capital to fund their operations. They do this through long term debt and equity.

Dividends is a payment to shareholders and so falls under equity so by extension falls under the financing section. As dividends reduce the amount of money the company has, it is also a deduction.

A key economic problem refers to the fact that scarcity forces us to choose, and these resulting choices are costly because we must give up other opportunities that we value.
a) true
b) false

Answers

Answer:

True

Explanation:

Economics provides us with the understanding that human wants are unlimited but the resources available to satisfy these wants are in short supply. Therefore, individuals and societies must make choices and this in turn would require selecting the best alternative. We most times have to give up valued choices to select the best or most important at that particular time.

These are the alternative forgone which we must forsake to satisfy the most pressing need. For example, a student who wants to study to pass his exams might have to forgo buying the latest phone so as to afford a textbook which he needs in order to pass his exams.

Comparative financial statements for Weller Corporation, a merchandising company, for the year ending December 31 appear below. The company did not issue any new common stock during the year. A total of 800,000 shares of common stock were outstanding. The interest rate on the bond payable was 12%, the income tax rate was 40%, and the dividend per share of common stock was $0.75 last year and $0.40 this year. The market value of the company’s common stock at the end of this year was $18. All of the company’s sales are on account.

Answers

Answer:

a lot of information is missing, so I looked for a similar question:

1) accounts receivable turnover = net sales / average accounts receivable = $79,000 / [($12,300 + 9,100)/2] = 7.38

2) average collection period = 365 days /  accounts receivable turnover ratio = 365 / 7.38 = 49.46 days.

3) inventory turnover = COGS / average inventory = $52,000 / [($9,700 + $8,200)/2] = 5.81  

 

4) average sale period = 365 days / inventory turnover = 365 / 5.81 = 62.82 days

5) Operating cycle = average sale period + average collection period = 49.46 + 62.82 = 67.28 days

6) total assets turnover ratio = net sales / average assets  = $79,000 / [($52,2800 + $45,960)/2] = 1.64

Your family business uses a secret recipe to produce salsa and distributes it through both smaller specialty stores and chain supermarkets. The chain supermarkets have been demanding sizable discounts, but you do not want to drop your prices to the specialty stores. True or False: In order to offer a lower price while defending yourself against antitrust lawsuits, you could simply offer a lower price to the chain stores but not the smaller stores. True False

Answers

Answer: False

Explanation:

Price discrimination refers to offering the same goods or services to people at a different price and it is illegal. By offering discounts to larger stores and not smaller stores, you would be practising price discrimination.

There are ways you could offer less prices to smaller stores such as through Volume discounts. This means that the more the stores purchase, the more discount they get. The larger stores buy more of the salsa and so for every additional batch purchased you could discount an extra 1%.

With the smaller stores unable to buy such large quantities they would not qualify for discounts.

A method of allocating merchandise cost requiring each item sold and each item remaining in inventory to be separately identified with respect to its purchase cost is called the

Answers

Answer: Specific Identification

Explanation: When items in an inventory are valued singularly rather than being evaluated based on a grouped analysis. In the specific identification inventory valuation method, each singular item in an inventory is monitored and accounted for separately, each items is tagged with its own cost, amount left in inventory. The specific identification method seems quite tedious when dealing with relatively cheap items which is always numerous in units such as small items like shirts, pen and so on. However, it is very useful in the valuation of large, luxurious and expensive items.

The strategy that a firm chooses dictates such structural elements as the division of tasks, the need for integration of activities, and authority relationships within the organization. This implies that

Answers

Answer: C. structure follows strategy.

Explanation:

The text mentions that the strategy that is chosen is the one to influence the structural elements in an organization. This is true because the Strategy of the Organization tells what the Organization wants to achieve in the long run.

The Organizational Structure would then have to fall in behind this and be done in such a way that the different activities in the organization will be garnered towards achieving the goals that the strategy has set.

Sweeney pies has issued a zero-coupon 10-year bond that can be converted into 10 Sweeney shares. Comparable straight bonds are yielding 9%. Sweeney stock is priced at $63 a share. (Assume a face value of $1,000 and semi-annual compounding).
A. Suppose that you had to make a now-or-never decision on whether to convert or to stay with the bond. Which would you do?
1. Convert the bond
2. Stay with the bond
B. If the convertible bond is priced at $476, how much are investors paying for the option to buy Sweeney shares?
C. If, after one year, the value of the conversion option is unchanged, what is the value of the convertible bond?

Answers

Answer:

A.Convert the bond

B.$53.59

C. $514.01

Explanation:

a. Calculation for whether to convert or to stay with the bond.

First step

In a situation where the fair rate of return on a 10 year zero-coupon non-convertible bond is 9%, which means the price would be calculated as:

Using this formula

Price =(Face value/(1+Non-convertible bond)^Numbers of years

Let plug in the formula

Price =($1,000/1.09)^10

Price = $422.41

Second step is to calculate for the conversion value

Conversion value = 10×$63 shares

Conversion value= $630

If we convert the gain will be :

Gain=$630 - $422.41

Gain= $207.59

Based on the above calculation this mean you may convert and sell the $10 shares for the amount of $630 which will help you to buy a bond for the amount of $422.41

And in a situation were you decide not to convert, you will own a non-convertible bond of the amount of $422.41, based on this i will convert the bond.

b. Calculation for how much are investors paying for the option to buy Sweeney shares

Amount to be paid = ($476.00-$422.41)

Amount to be paid= $53.59

This means the Investors are paying the amount of $53.59

c. Calculation for the value of the convertible bond

First is to calculate for the value of a comparable non-convertible bon

Bond value = $1,000/1.09^9

Bond value = $460.42

Now let calculate for the value of the convertible bond

Value of the convertible bond = $460.42+ $53.59

Value of the convertible bond= $514.01

Therefore the Value of the convertible bond will be $514.01

In 6 years, the P/E ratio is expected to be 25 and the payout ratio to be 80%. What is the current stock price when using the P/E ratio

Answers

Complete Question:

A stock just paid an annual dividend of $7.7. The dividend is expected to grow by 5% per year for the next 6 years. In 6 years, the P/E ratio is expected to be 25 and the payout ratio to be 80%.

The required rate of return is 8%.

What should be the current stock price?

Answer:

$245.10

Explanation:

As we know that:

P/E = Market Price of Stock / Earning Per Share

Here

P/E is 25 time

Earning Per Share is $12.9 per share (Step1)

By putting values, we have:

25 Times = Market Price of Stock / $15.6 per share

25 Times  *  $12.9 per share   = Market Price of Stock

Market Price of Stock = $322.5 per share

Present value computation for first 6 years:

Yrs   Future Cash flow      Discount Factor    Present Value

1       $7.7 *(1.05)^1                     0.926                      7.49

2      $7.7 *(1.05)^2                    0.857                       7.28

3      $7.7 *(1.05)^3                     0.794                      7.08

4      $7.7 *(1.05)^4                     0.735                      6.88

5      $7.7 *(1.05)^5                     0.681                       6.69

6      $7.7 *(1.05)^6  + $322.5   0.630                     209.68

Present value of stock                                          $245.10

Step1: Find Earning Per Share

As we know that:

Earning Per Share = Dividend / Payout Ratio

Here

Dividend after 6 years = $7.7 (1 + 5%)^6 = $10.32 per share

Payout Ratio = 80% = 0.8

By putting values, we have:

EPS = $10.32 / 0.8 = $12.9 per share

Using the method of your choice, calculate the Net Present Value of the following cash flows. Assume that the required return on this project is 15%
Project A
Initial Cost -$150
Year 1 $175
Year 2 $100
A. $15
B. $35
C. $55
D. $70
E. $78

Answers

Answer:

E. $78

Explanation:

The computation of the net present value is shown below:

Net present value is

= Initial investment + year cash inflows ÷  (1 + discount rate)^number of years + year cash inflows ÷  (1 + discount rate)^number of years

= -$150 + $175 ÷ 1.15 + $100 ÷ 1.15^2

= $77.78

= $78

Hence, the correct option is E. $78

Given that Unilever is viewed as being highly innovative in Brazil, does the video confirm this reputation. Wy or why not

Answers

Explanation:

Unilever is considered highly innovative in Brazil due to the development of different product lines according to the potential audience. That is, in Brazil the company produces product lines to reach different audiences, including people from lower classes.

This occurs in Brazil due to the fact that the country has a very diverse consumer audience according to income and preferences, which makes the company develop strategies to capture a larger part of the market and satisfy the needs of Brazilian consumers.

can plagiarism be unintentional? Should the consequences be the same?

Answers

Answer:

yes it can be and no they shouldn't be.

Explanation:

yes, even though unlikely to happen it is possible to do something (write,play or invent etc) and not be aware that that already exsists. And it is not your fault for making something that you did not know is already made.

Pat has Been riding informal proposals for more than 20 years. At feels that many people forget the call for action and present the reader with the offer prior to signing a binding contract. What component is Pat focusing on. A. Request for authorization B. Budget C. Introduction D. Background​

Answers

Answer:

D. Budget

Explanation:

Pat has Been riding informal proposals for more than 20 years. Pat feels that many people forget the call for action and present the reader with the offer prior to signing a binding contract.

This offer prior to signing a binding contract is a form of background work not an introduction neither is it request for authorization or budget.

It's not in the protocol of contract signing but it's a special way to have your contract signed.

A house sold for $165,000, and the total commission received by the broker was $13,200. What was the rate of commission?

Answers

Answer:

the rate of commission is 8%

Explanation:

The computation of the rate of commission is shown below:

Rate of commission is

= Commission received by the broker ÷ Sale value of the home

where,

The Commission received by the broker is $13,200

And, the sale value of the home is $165,000

Now put these values to the above formula

So, the rate of commission is

= $132,00 ÷ $165,000

= 8%

Hence, the rate of commission is 8%

If a foreign broker-dealer that does not have U.S. based operations wishes to solicit customers in the United States, the broker-dealer:I. must establish an SEC-registered U.S. subsidiaryII. is not required to establish an SEC-registered U.S. subsidiaryIII. can effect its business through another registered U.S. broker-dealerIV. cannot effect its business through another registered U.S. broker-dealer

Answers

Answer: I. must establish an SEC-registered U.S. subsidiary.

III. can effect its business through another registered U.S. broker-dealer.

Explanation:

If a foreign broker-dealer that does not have U.S. based operations wishes to solicit customers in the United States, the broker-dealer must establish an SEC-registered U.S. subsidiary and can also effect its business through another registered U.S. broker-dealer.

Upon customer request, a dealer in a competitive municipal syndicate must disclose:__________.
A. the spread taken by the underwriters
B. order priority provisions
C. names of syndicate members
D. name(s) of the person(s) from whom orders have already been received

Answers

Answer:

B. order priority provisions

Explanation:

When investors want to purchase municipal bonds in the primary markets, it is important for the issuer to prioritise orders from investors in a bond offering.

The underwriter must follow the issuer's priority of orders in allocating purchase orders for municipal bonds.

So in a competitive municipal syndicate when a customer asks for order priority provisions, it must be provided by the dealer.

This shows transparency of the process to the investor as he now knows when each order will be filled.

Coronado Industries produces only one product. Monthly fixed expenses are $14000, monthly unit sales are 3000, and the unit contribution margin is $10. How much is monthly net income?

Answers

Answer:

the monthly net income is $16,000

Explanation:

The computation of the monthly net income is shown below:

Net income =  contribution margin - fixed expenses

where,

Fixed expenses is $14,000

And, the contribution margin is

= Monthly unit sales × unit contribution margin

= 3,000 × $10

= $30,000

So, the monthly net income is

= $30,000 - $14,000

= $16,000

hence, the monthly net income is $16,000

When unit selling price remains the same and ________, then the contribution margin per unit decreases.
A: fixed costs increase
B: fixed costs decrease
C: variable costs per unit increase
D: variable cost per unit decrease

Answers

Answer:

C: variable costs per unit increase

Explanation:

When unit selling price remains the same and variable cost per unit increase, then the contribution margin per unit decreases.

An increase in variable costs when sales unit is same, will lead to decrease in contribution margin.

Contribution margin is calculated by subtracting variable costs from product's revenue and then dividing it by the product's revenue.

Mathematically,

Contribution Margin = (Sales Revenue - Variable Cost) / Sales Revenue.

"A high-ranking officer of ABC Corporation owns 10,000 shares of ABC Corporation control stock that she wishes to sell under the provisions of Rule 144. The company has 900,000 shares outstanding. The average weekly trading volume over the preceding 4 weeks was 3,000 shares. The maximum permitted sale under Rule 144 is:"

Answers

Answer: $9,000

Explanation:

Rule 144 is a regulation that governs the trading of restricted, unregistered, and control securities and is enforceable by the SEC.

Under the rule, the person, as an officer of the ABC Corporation is limited to selling the higher of 1% of the Outstanding stock the company has or the average weekly trading volume over the preceding 4 weeks.

1% of the outstanding 900,000 shares is;

= 1% * 900,000

= 9,000 shares

This is higher than the average weekly trading volume over the preceding 4 weeks so this is the maximum permitted sales figure.

You wish to buy a $20,000 car. The dealer offers you a 5-year loan with an 5 percent APR. What are the monthly payments

Answers

Answer:

the monthly payments are $377.42.

Explanation:

The monthly payments, PMT on the loan can be determined using a financial calculator as follows :

PV = $20,000

N = 5 × 12 = 60

P/YR = 12

R = 5.00 %

FV = $ 0

PMT = ?

Using a Financial Calculator, the monthly payments, PMT on the loan are $377.42.

When a taxpayer receives more EITC after adding a Schedule C to their return than they would have received without it, the Tax Professional must:

Answers

Answer:

Apply sound judgment to the information provided and document the questions asked and the taxpayer's responses.

Explanation:

Apply good judgment and discretion to the information presented, and have reports of questions and answers to demonstrate the queries raised and the taxpayer's answers.

It can be done in the following ways

1. Assess the data i.e collected from the client

2. Now apply the standard that are consistent

3. Additional enquires should be conducted in the case when there is incomplete information, data etc

The present value of growth opportunities (PVGO) is equal to: I) the difference between a stock's price and its no-growth value per share. II) the stock's price. III) zero if its return on equity equals the discount rate. IV) the net present value of favorable investment opportunities.

Answers

Answer: I, III and IV

Explanation:

The present value of growth opportunities (PVGO) is equal to the difference between the price of a stock and its no-growth value per share.

It us also equal to zero if its return on equity equals the discount rate and us also the net present value of favorable investment opportunities.

The present value of growth opportunities (PVGO) is not equal to the stock price. Therefore, option I, III and IV are correct.

In the past year at Carter’s Material Handling Equipment Manufacturing Company, eight employees experienced minor injuries (cuts) from handling metal parts. One employee lost 15 workdays after getting debris in his eye while grinding, six employees lost two days each due to back strains, and four welders were treated for minor burns. Select one of the injury types, and discuss the possible performance problems. Suggest one or more solutions for each performance problem.

Answers

Answer:

The performance problem to minor burns will be mainly psychological.

Explanation:

The staff involved will most likely exhibit a reduction in speed at which he or she executed the task which led to the burn.

If the personnel is in a chain of production where their own activity feeds others, it may translate to the increase in the time taken to achieve results.

One solution to this is to critically examine the production process and eliminate the cause of the accident if any.

If the cause of the incident was as a result of carelessness on the part of the staff, then he or she might have to be rescheduled to another department or unit where their current mindset will not stall the overall performance of the team/production line.

Cheers!

What is the plowback ratio for a firm that has earnings per share of $2.68 and pays out $1.75 per share in dividends

Answers

Answer:

34.70%

Explanation:

Calculation for the plowback ratio

Using this formula

Plowback ratio=(Earnings per share-Pays out per share)/Earnings per share

Let plug in the formula

Plowback ratio = ($2.68 - $1.75)/$2.68

Plowback ratio =$0.93/$2.68

Plowback ratio = .3470 ×100

Plowback ratio =34.70%

Therefore Plowback ratio will be 34.70%

On January 2, 2016, Jennings Company purchases machinery and equipment and borrows $200,000 on a 5-year non-interest-bearing note. The principal of $200,000 will be paid at the maturity date of December 31, 2020. To place a fair value on the transaction, the accountant will impute an interest rate and use that rate to compute the present value of the note.Required: Assuming that an 8% interest rate is applicable, record the journal entry for interest expense for the year ended December 31, 2016.

Answers

Answer:

December 21, 2016

DR Interest expense....................................................$10,889.33

CR Discount on notes payable.......................................................$10,889.33

Explanation:

The interest to be paid will be charged on the present value of the note in 2016.

Present value of $200,000 = 200,000 / ( 1 + 8%)^5

= 200,000/1.4693280768‬

= $136,116.64

Interest to be paid;

= 136,116.64 * 8%

= $10,889.33

Stock in Cheezy-Poofs Manufacturing is currently priced at $80 per share. A call option with a $80 strike and 90 days to maturity is quoted at $3.20. Compare the percentage gains and losses from a $25,600 investment in the stock versus the option in 90 days for stock prices of $70, $80, and $90. (Do not round intermediate calculations. Enter your answer as a percent rounded to 2 decimal places. Leave no cells blank - be certain to enter "0" and select "None" wherever required. Input all amounts as positive values.)

Answers

Answer:

Price                Stock     Options

$70                         -3200     -25600

$80                          0             -25600

$90                          3200      54400

Explanation:

Invested in stock

Number of units acquired = $25,600/80 = 320

Now if price goes down to $70 THEN loss will be

320 × (70-80) = - $3,200

percentage of loss will be  3,200/25,600 × 100 = 12.5%

If price stays at $80, then there will neither be a gain nor a loss

320 × (80-80) = 0

If price goes up to $90, then the gain will be

320 × (90-80) = $3,200

percentage of gain will be  3,200/25,600 × 100 = 12.5%

Invested in option

Number of options purchased = $25,600 / 3.20 = 8000

Now If price goes down to $70 then investor will not exercise option in which case loss will be equal to amount of premium paid which is - $25,600.

percentage of loss = 100%

If price stays at $80 even then investor will not exercise call option in which case loss will be equal to the amount of premium paid which is - $25,600

Percentage of loss = 100% loss

If price goes up to $90 then investor will exercise call option

Gain due to exercise of call option = 8000 × (100 - 90) = 80,000

Net gain = 80,000 - 25,600 = $54,400

Percentage gain = 54,400 / 25,600 = 212.5%

You expect to receive $350,000 per year on a contract that will last 2 years. You are trying to compare this offer to a lump sum payment. If you can earn 8% on your investments, how much is the contract worth to you today

Answers

87,500 I believe bc 350,000 divided by 8 is 43,750 times 2 is 87,500

Which of the following terms are associated with over-the-counter (OTC) trading?
1. Market maker.
2. Specialist.
3. Auction market.
4. Negotiated market.
A. 1 and 3.
B. 1 and 4.
C. 2 and 4.
D. 2 and 3.

Answers

Answer:

B. 1 and 4.

Explanation:

option 4) negotiated market

Since OTC trading involves stocks that generally come from companies that cannot trade in large stock exchanges, OTC traders usually negotiate directly with each other. In order for stocks to trade in large stock markets, they must fulfill certain requisites and many small companies cannot do it.

option 1) market maker

Traders that operate in secondary markets are called market makers. The two types of secondary markets are OTCs and exchange markets (large trading markets like NYSE, Nasdaq). Market makers also trade in primary markets. Traders that act on primary markets are the underwriters that carry out the IPOs.

Stocks that trade via OTC are typically smaller companies that cannot meet exchange listing requirements of formal exchanges. ... OTC securities trade by broker-dealers who negotiate directly with one another over computer networks and by phone using the OTCBB.

A customer has combined margin account that shows the following:Long: $20,000 of ABC stock Debit: $8,000Short: $30,000 of XYZ stock Credit: $48,000If no other activity occurs in the account, the account will show a current SMA balance of?A. 0B. $5,000C. $8,000D. $10,000

Answers

Answer: $5000

Explanation:

From the question, it is possible for the customer to borrow 50% of $20,000 which equals:

= 50% × $20,000

= 0.5 × $20,000

= $10,000

We can see that only $8000 was borrowed by the customer, this implies that the customer can still borrow:

= $10,000 - $8,000

= $2000 more.

The above is the SMA for the long account.

For the short account equity, 50% of $30,000 equals:

= 50% × $30,000

= 0.5 × $30,000

= $15,000

The equity in the account is $18,000. This means that there's an extra ($18,000 - $15,000) = $3000

Therefore, SMA will be:

= $3000 + $2000

= $5000

Exchange rate is currently $1.25 US per 1 Euro. Interest rate is 2% in the US and 1% in Eurozone. A bank is long a futures contract on 1,000,000 Euro with F= $1.20 per unit, maturing in one year. What position should the bank take to hedge the currency risk?
a. Borrow $1,237,624 US
b. Invest $990,099 U.S.
c. Invest $1,237,624 US
d. Borrow $990,099 US

Answers

Answer:

Invest $990,099 U.S

Explanation:

The interest rate is 2% for US dollars and 1% for euro

The exchange rate is 1.25 dollars to a euro.

To calculate future exchange rate:

1.25dollars (1+exchange rate of us/1+ exchange rate of euro)

= 1.25(1.02/1.01)

= 1.2625

Approximately 1.26

After a year they will be getting .26 million dollars.

They need to invest something close to this amount 1.2/1.02

Therefore option b is the best answer

Other Questions
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