Accredited investor - Study guides, Class notes & Summaries

SIE FINRA Practice Exam QUESTIONS AND ANSWERS 2023 UPDATE GRADED A+ A married couple who earn over 300,000 currently as well as prior two years - Correct Answer- Accredited Investor Which of responses describes an advantage of index funds - Correct Answer-The protection of principal during bearish markets Under a system of statutory voting, a common stockholder has as many votes for each vacancy on the board of directors as the number of: - Correct Answer-proxies available for voting by t...

SIE Exam Definitions Study Guide. 12b-1 fee - answeran annual fee charged by a mutual fund for its marketing and distribution costs. Also called a maintenance fee or distribution fee. 529 College Savings Plan - answerA tax-free savings plan that offers families professionally managed portfolios to help meet specified college expenses. A shares - answera class of mutual fund shares that have a front-end sales charge, expressed as a percentage of its net asset value. ABLE account - answera ...

Do common stock holders have to right to inspect all books of a company? No, only certain items suchs as the income statement and balance sheet Order of asset distribution Taxes Secured debt Unsecured debt Preferred stock holders Common stock holders What type of corporate security is considered the riskiest? Common stock Of all securities, common stock has historically Provided the best hedge against inflation, best capital appreciation potential Classificati...

Series 79 - Key Concepts Regulation A/A+ - correct answer - Mini IPO - Form 1A - Offering Circular in place of a prospectus Tier 1 Reg A+ - correct answer Up to $20mm public capital raised per year Tier 2 Reg A+ - correct answer Up to $75mm public capital raised per year Section 4(a)(2) and 4(a)(5) of 1933 act - correct answer Private Placement: Allow an issuer to sell unregistered securities privately Reg D Safe Harbor - Rule 504 - correct answer Max Deal Size: $10mm - Unlimited...

The securities industry's primary regulatory body and created under what act? - SEC, Securities Exchange Act of 1934 Function under the SEC's oversight and is accountable to the Commission for enforcing federal securities laws, as well as supervising securities practices within an assigned jurisdiction. - Self Regulatory organizations (SRO) what are the largest SROs - Financial Industry Regulation Authority (FINRA), Chicago Board Options Exchange (CBOE), Municipal Securities Rulemaking B...

§338 (including its various subsections such as §338(h)(10) of the Internal Revenue Code correct answers permits, if all conditions are met, a stock sale to be treated as an asset sale for tax purposes. This allows the seller the benefits of a stock sale (i.e. clean exit of the business) and provides the buyer with potential value enhancement from the tax shield generated from the asset step-up. DEFM14A correct answers SEC filing code for a merger proxy. A solicitation of shareholder votes ...

Real Estate-Property Management Exam with 100% Complete Solutions | Verified & Updated 2024 A.M.O. - Answer ️️ -Accredited Management Organization: A firm that meets the guidelines of the Institute and utilizes at least one CPM can be designated as an AMO A.R.M. - Answer ️️ -ACCREDITED RESIDENT MANAGER (ARM®) designation for the on-site manager who successfully completes a prescribed educational program, meets an experience requirement, and subscribes to IREM's ethical code and...

The securities industry's primary regulatory body and created under what act? - ️️SEC, Securities Exchange Act of 1934 Function under the SEC's oversight and is accountable to the Commission for enforcing federal securities laws, as well as supervising securities practices within an assigned jurisdiction. - ️️Self Regulatory organizations (SRO) what are the largest SROs - ️️Financial Industry Regulation Authority (FINRA), Chicago Board Options Exchange (CBOE), Municipal Secur...

FINRA Website SIE Practice Exam Questions & Answers A firm is a participant in a public offering. To sell a substantial amount of the securities to its customers, the firm agrees to repurchase the shares at no less than the original cales price. Such agreements are: A. Prohibited as fraudulent and manipulative B. Permissible if the securities are deposite into escrow C. Prohibited unless the firm immediately sets aside funds for the repurchase D. Permissible if the customers retain the ri...

A married couple who earn over 300,000 currently as well as prior two years correct answers Accredited Investor Which of responses describes an advantage of index funds correct answers The protection of principal during bearish markets Under a system of statutory voting, a common stockholder has as many votes for each vacancy on the board of directors as the number of: correct answers proxies available for voting by the board Which security types provides investors with a stated maturit...