Prospectus 1933 Study guides, Class notes & Summaries
Looking for the best study guides, study notes and summaries about Prospectus 1933? On this page you'll find 144 study documents about Prospectus 1933.
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Series 79 questions with complete solution
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Series 79Don’t have to register securities if - correct answer 1. securities are exempt 
2. Transaction is exempt 
 
C Corp - correct answer Big corp 
 
Can file to be public 
 
Does not pass through gains & losses to shareholders (pays corporate income tax) 
 
Anyone can invest 
 
Taxed at favorable rates if held for more than 1 year 
 
S Corp - correct answer Small corp 
 
Max 100 shareholders 
 
Ineligible to list on exchange 
 
PAss through gains & losses to shareholders (does not pay cor...
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Series 65 Exam Prep || Already Graded A+.
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Definition of Security correct answers 1. Investment of money 
2.In a common enterprise 
3. With an expectation of profit 
4.Results solely from the efforts of others 
 
What are considered securities? correct answers 1. Stock 
2. Bond 
3. Debenture 
4. Right or warrant 
5. Note 
6. Put, call, straddles, privileges on securities or other option 
7.Limited Partnership interest 
8. Certificate of interest in a profit-sharing agreement 
9.Treasury Stock 
10. Evidence of indebtedness 
11. Collatera...
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SIE Chapter 2 Latest Update Graded A+
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SIE Chapter 2 Latest Update Graded A+ 
 
Which government agency oversees the regulation of broker-dealers and aims to protect 
investors while ensuring fair and efficient trading in the primary markets? The Securities and 
Exchange Commission (SEC) 
 
What types of transactions fall under the SEC's jurisdiction? Transactions involving 
securities that occur across state lines 
 
What are Self-Regulatory Organizations (SROs), and give an example? Organizations like 
FINRA that oversee day-to-da...
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Series 65 - Unit 8 - Federal Securities Regulations || Already Passed.
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Investment contract according to 1933 act correct answers - Investment of money 
- Common enterprise 
- Expectation of profit 
- Results solely from the effort of other 
 
Underwriter correct answers - Buys securities from an issuer with intention of selling it 
- Does not include brokerage firm earning commission on retail sale to public 
 
Tombstone advertisement correct answers - Only identifies security, price, and underwriters 
- Not considered a prospectus 
 
Prospectus correct answers ...
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Series 26 || with Complete Solutions.
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Dealer correct answers Transacts business for its own account 
 
Broker correct answers Transacts business for others 
 
CRD correct answers Provides registration info regarding Bkr/dlrs and registered persons 
 
Non-registered person correct answers Cannot solicit order for new accts, provide investment advice, make recommendations, give pricing info, or execute transactions 
 
ADV (Investment Adviser Registration) Part I correct answers Name, # of employees, background of partners, how the adv...
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Series 65 Chapter 2 || Already Graded A+.
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corp or trust of pooled funds to invest in large diversified portfolios correct answers investment company 
 
professional management 
diversification 
lower transaction cost correct answers benefit of investment company 
 
raise capital by selling share to public 
registration and prospectus requirement correct answers Securities ACT of 1933 
 
SEC regulation of investment companies 
how shares sold to public correct answers Investment Company Act of 1940 
 
investment company correct answers ...
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Business Law for Accountants - D216 Western Governors University WGU Final guide with complete solution
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Business Law for Accountants - D216 Western Governors University WGU Final guide with complete soluti 
Scienter Answer - A person has knowledge of wrongdoing and intent of wrongdoing 
 
Sox act of 2002 Answer - created the public company accounting oversight board, It states high level managers (CFO, CEO, Senior roles) must maintain an effective system of internal controls. Internal controls get checked by senior management annually 
 
Outside Directors Answer - oversee the accounting process...
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LEB 320F Final Exam with All Correct Answers
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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...
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Securities Industry Essentials Certification Exam (2024) || With Questions & 100% Accurate Answers
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Securities Industry Essentials Certification Exam (2024) || With Questions & 100% Accurate Answers 
Securities Industry Essentials Certification Exam (2024) || With Questions & 100% Accurate Answers 
 
All broker/dealers registered with the SEC must be SPIC members except: - ANSWER - - banks that deal exclusively in municipal securities 
- firms that deal exclusively in U.S. government securities 
- firms that deal exclusively in redeemable investment company securities 
 
What is the definition...
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CFP EXAM 2024 WITH 100% ACCURATE SOLUTIONS
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CFP EXAM 2024 WITH 100% ACCURATE SOLUTIONS 
 
 
Savings Strategy: How much of your gross income should you save? - correct answer 5-8% 
 
Securities Act of 1933 - correct answer Purchasers of new issues must be provided with a detailed prospectus before transaction. 
 
Securities Act of 1934 - correct answer Regulates the secondary Market or trading of issued securities. This act created the SEC 
 
Investment Company Act of 1940 - correct answer SEC can regulate UITs, Mutual funds, and variable ...
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