Prospectus - Study guides, Class notes & Summaries

Prospectus (1933) correct answers -all material facts -given no later than w/confirmation of sale -all forms of communication except word of mouth Estate tax correct answers -unlimited amount to US spouse/charity, no fed tax -Assets sold at FMV -Payment no more than 9 months after death Form ADV correct answers 1A: -locations (all states registered in) -form and method of business and activities -control person details -custody/discretion -disciplinary history 1B: -Only required b...

Psyr 8117L Prospectus Draft ProposalProspectus Draft ProposalPhD in Clinical Psychology, Walden UniversityPsyr 8117L: Writing a quality prospectus in psychologyProspectus Title: A Qualitative Analysis exploring the stressors that lead to depression in children with one parent in the military. Prospectus Topic: I selected this topic because I realized that there aren't many studies done on military children and I wanted more answers. Initially I wanted to research Does having a parent in the mil...

SIE Regulations Latest Update Graded A What is the main purpose of the Securities Act of 1933? The Securities Act of 1933 aims to oversee the initial sale of securities, requiring companies to submit a registration statement to the SEC before issuing new stocks. Which act created the SEC and regulates the trading of securities in the secondary market? The Securities Exchange Act of 1934 established the SEC and governs secondary market trading. Which types of securities fall under th...

Before offering its shares to the public, a mutual fund must have: I 100 investors II 1,000 investors III $100,000 net worth IV $1,000,000 net worth correct answers I and III The transfer agent of a mutual fund would NOT handle which of the following functions? I.Promote the fund to the public II.Cancel (tear up) shares which are redeemed III.Issue new shares to investors IV.Distribute capital gains and dividends correct answers I. An open-end investment company prospectus would pr...

SIE exam caril: complete study guide Q-bank answered latest spring 2023. What type of risk is unique to a specific industry, business enterprise, or investment type? - Under which of the following circumstances is an investor in a position to acquire stock? - Options- a premium - Options- strike price A customer believes that ABC's price will go up but does not have the money to buy 100 shares right now. How could the customer use options to profit from an increase in the sto...

Form 144 must be filed with the SEC concurrently with the sale or earlier. within 10 days of the sale 5 days before the sale correct answers concurrently with the sale or earlier. Form 144, which alerts the SEC to the impending sale of unregistered or control stock, must be filed concurrently with or before the sale. The form must also be filed as amended if there is an inaccuracy or to indicate a change in broker. For an additional issue offering where the subject security is quo...

Hart-Scott-Rodino Act correct answers Requires that a merger or takeover transaction that exceeds certain value thresholds must be filed with the FTC and Department of Justice - Anti-Trust Department, for their review of the deal's effect on competition. A 30-day waiting period must be completed without comment from these regulators before the deal can proceed. - $200 million takeover adjusted for inflation - takeover valued between $50 and 200 million only if the 10/100 test applies (infla...

Securities Act of 1933 - The first major federal law regulating the securities industry. Focuses on the PRIMARY MARKET It requires firms issuing new stock in a public offering to file a registration statement with the SEC. Securities Act of 1934 - A law governing the SECONDARY trading of securities in the US; established the SEC (Securities and Exchange Commission). Securities Act of 1933 applies to - non-exempt issues What is needed per the Securities Act of 1933 before sales ca...

CISI – Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024] When the UK regulator allows a firm to undertake regulated activities, it grants which of the following? A Authorisation B Financial Services and Markets Act 2000 prohibition C Regulatory exemption D Part 4A Permission - CORRECT ANSWER D Part 4A Permission - Activities must be permitted by the Part 4A Permission (status would be permitted with authorization) According to the UK Prospectus Rules (P...

Series 24 Flashcards Question and answers already passed 2024/2025 Series 24 Flashcards - Final Master Deck 25 days - correct answer For how long must a prospectus be provided for an IPO of a listed company? 40 days - correct answer For how long must a prospectus be provided for a company that will be unlisted? 90 days. - correct answer For how long must a prospectus be provided for an IPO of a company that will be unlisted? Prospectus not required. - correct answer For how ...