Issuer - Study guides, Class notes & Summaries

In order to qualify as a WKSI, an issuer must have a non-affiliate market capitalization of at least: correct answers $700 million worldwide An investment analyst is evaluating a company that formerly was public, before being taken private in a merger. This company has not filed any 10-Ks or 10-Qs since it went private. To learn details of the consideration paid to acquire this company, an analyst should consult which document? correct answers The merger proxy Can a company's board of dir...

Progress Exam 1 Question and answers 100% correct 2024/2025 Progress Exam 1B - Series 24 The BOD of a listed issuer is considering taking the company private. Which of the following is TRUE? A. This activity requires the approval from FINRA and the filing of a Reg. D disclosure form. B. The issuer must reduce the number of voting shareholders below 100 before it can go private. C. Schedule 13 E-3 must be filed with the SEC. D. All current shareholders must be given the opportunit...

Raising Capital - ANSWER-Businesses can raises capital by selling securities -But an offer or sale of any security must either be: 1. Registered with the SEC 2. Conducted under an exemption Securities Act of 1933 - ANSWER-General Rule: Securities must be registered for lawful public sale, unless exempt -Register by filing a registration statement that provides disclosures to investors -What's disclosed? -The issuer's business description and details -The issuer's insiders - th...

Series 63 - Questions And Answers 100% Verified. Exceptions for BD Agents - correct answer. The only exceptions that apply to a person working for a BD effecting securities transactions is in reference to WHO they sell to: 1.) Non-Resident Customer (30 day) -RR can continue to service customer even if he is not registered as an agent in the state in which the customer is temporarily located. -Time frame is 30 days or less 2.) New Resident Customer (60 day) -RR is ...

LEB 320F Final Exam with All Correct Answers Why do we need securities regulation? - Answer-To protect investors To regulate Protect persons investing Sought to strengthen financial market Securities Act of 1933 - Answer-1st federal securities law Regulate insurance of securities by companies Fraudulent behavior was outlawed Registration required before new security Goal: protect investing public Seeks to regulate the issuer, underwriters & dealers so investors have adequate inf...

WGU C428 Financial Resource Management in Healthcare Questions and Answers Already Graded A Finance within a healthcare organization can be condensed into the "four Cs": Costs Cash Capital Control The finance department manager who handles capital acquisition, investment management, and risk management activities Treasurer The finance department manager who handles accounting, budgeting, and reporting activities. Comptroller The head of the finance department holds the title of chief financ...

A primary issue is A. the first transaction between two parties in the over-the-counter market. B. a new offering of an issuer sold to investors C. a secondary market transaction in a security recently offered to the public. D. a sale between investors of securities traded on the New York Stock Exchange. correct answers A new offering of an issuer sold to investors A primary issue is a new offering of securities by an issuer sold to investors. Transactions between two investors in the o...

Earned Income Income derived from active participation in a trade or business, including wages, salary, tips, commissions and bonuses. Unearned Income Any income that comes from investments and other sources unrelated to employment services. Examples: interest from a savings account, bond interest, alimony, and dividends from stock Exemptions (aka allowance) and how they work If you are not claimed as a dependent on another taxpayer's return, then you can claim one personal ...

Series 24 Questions with complete solution 2024/2025 Series 24 Variable Annuity Applications Forwarding to Issuer - correct answer Must be forwarded promptly! Variable Annuity Tender within 7 business days - correct answer BD refunds the underwriter and the underwriter refunds to the issuer Research Report Disclosure - correct answer Does not need to disclose if it was a selling group member. Max sales load Mutual Fund - correct answer 8.5% Concessions and Allowances - co...

agent correct answers An individual who represents a broker/dealer or an issuer when selling or trying to sell securities to the investing public. This individual is considered an _____ whether he or she actually receives or simply solicits orders. Also known as "registered representatives." Two types of agents correct answers An individual who represents a broker dealer in effecting or attempting to effect securities transactions (an entrepreneur selling stock in his own company to raise c...