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Series 79 || with 100% Error-free Answers.

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Earnings yield correct answers Inverse of P/E ratio = 1/(P/E) ROE correct answers NI/ Avg Stockholders Equity ROA correct answers NI/ Average Assets A typical IPO process (7 steps) correct answers 1) Pitch for business (bake-off) 2)Win mandate 3)Sign engagement letter 4)File registratio...

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  • September 5, 2024
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  • 2024/2025
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  • Series 79 ||
  • Series 79 ||
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Series 79 || with 100% Error-free Answers.
Earnings yield correct answers Inverse of P/E ratio = 1/(P/E)

ROE correct answers NI/ Avg Stockholders Equity

ROA correct answers NI/ Average Assets

A typical IPO process (7 steps) correct answers 1) Pitch for business (bake-off)
2)Win mandate
3)Sign engagement letter
4)File registration statement
5)Book building/ marketing
6)Go effective (shares are registered under '33 Act)
7)Confirm allocations and distribute securities to investors

When must you file a SAR correct answers SAR must be filed within FinCEN within 30 days of
the discovery of the suspicious activity, regardless of when the firm decides to file the report

Firms are required to inspect OSJs at least? correct answers Office of supervisory jurisdiction
(OSJ)

Once per year

Currency transactions in excess of $10,000 correct answers A CTR is used to report transactions
in excess of $10,000 to FinCEN. It is known as Form 104

Form 3 correct answers Individual becomes corp insider (i.e. officer, director, or > 10%
shareholder)

within 10 days

Form 4 correct answers Corp insider changes holdings

within 2 business days

Form 5 correct answers Corp insider reports transactions in SECs not in public markets

45 calendar days of fiscal year end

13D correct answers Statement of beneficial ownership of greater than 5% active investor

10 calendar days of transaction
10 calendar days of any material change to ownership (1%) or intentions

13G correct answers Passive statement of beneficial ownership of greater than 5%

,45 calendar days of calendar year end when owning > 5%

If passive investor hits 10%, it must be filed at the end of that month

If passive investor hits 20%, they must file a 13D

13E-3 correct answers Going private

Concurrently with a tender offer, registration statement or other privatization document

13F correct answers Quarterly filing by institutional investment managers ($100mm+ in assets)

Form 144 correct answers Corporate insider preparing to sell shares

Up to first day of 90-day period when shares are sold

10Q correct answers Quarterly financial report

Large accelerator - 40 calendar days
Accelerated - 40 calendar days
Non accelerated - 45 calendar days
Smaller reporting - 45 calendar days

10K correct answers Annual financial report

Large accelerated - 60 calendar days
Accelerated - 75 calendar days
Non accelerated - 90 calendar days
Smaller reporting - 90 calendar days

8K correct answers Current report - newsworthy item

4 business days of event

6K correct answers Current report for foreign issuer

4 business days of event

PRE14A correct answers Preliminary proxy statement

Filed with SEC 10 days prior to definitive agreement

DEF14A correct answers Definitive proxy statement

Distributed to shareholders and filed with SEC 20 days prior to shareholder meeting

, If made available online, 40 days prior to shareholder meetings

Schedule TO correct answers Includes terms of a tender offer

Filed to commence offer, must be made available for at least 20 business days

S-1 correct answers Long form registration statement - used for IPO

S-3 correct answers Short form registration statement - used for follow-on offering

S-4 correct answers Merger registration

S-8 correct answers Employee benefits plan

S-11 correct answers REITS

Currency transaction report (CTR) correct answers Anti-money laundering form

Cash deposits in excess of $10,000 in a single day

File with FinCEN within 15 days of deposit

Suspicious activity report (SAR) correct answers Anti-money laundering form

Any suspicious activity by a customer

File with FinCEN within 30 days of learning of the suspicious activity

FINRA Form U-4 correct answers Registration of BD personnel

10 year of employment history
3 years verified the three most recent years
Settlements of $15,000 or more in securities-related litigation involving a registered rep
Settlements of $25,000 or more in securities-related litigation involving a firm
Settlements below this do not require disclosure

Amended within 30 days of change or 10 days for disciplinary reasons

FINRA Form U-5 correct answers Termination of registration for BD personnel

Rep has two years to re-associate with another member before needing to requalify by
examination

Within 30 days of termination, or 10 days for termination for cause

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