Series 79 questions - Study guides, Class notes & Summaries

Series 79 The letters NAV stand for - correct answer Net asset value refers to an investment company's total assets less its total liabilities. Mutual funds and unit investment trusts calculate their NAV every business day, often after market close. Closed-end funds are not subject to the requirement to calculate NAV on a daily basis. All of the following are non-marketable U.S. Government securities EXCEPT - correct answer Treasury Bills trade actively on the secondary market. SLGS, Series...

Series 79an investment banker representative brings home a deal file and leaves it on her living room table. her husband reads the deal file and trades on the information. in this situation, who is liable? - correct answer the husband is liable for violating the duty of trust. he knew that it was insider info. an employee of a FINRA member firm is accused of insider trading. how can the firm avoid liability? - correct answer the firm can avoid liability if it can demonstrate that they had ade...

AQA AS PSYCHOLOGY 7181/2 Paper 2 Psychology in context Question Paper + Mark scheme [MERGED] June 2022 *JUN* IB/G/Jun22/E8 7181/2 For Examiner’s Use Section Mark A B C TOTAL Time allowed: 1 hour 30 minutes Materials For this paper you may use: • a calculator. Instructions • Use black ink or black ball-point pen. • Fill in the boxes at the top of this page. • Answer all questions. • You must answer the questions in the spaces provided. Do not write outside the...

ASVAB MEPS Exam 223 Questions with Verified Answers A radar is designed to report the track of an aircraft every second. If this radar reports 30 tracks in one minute, what percentage of the time did the radar track the aircraft? - CORRECT ANSWER 50% Jerry walked a dog from 6:40 a.m. to 7:30 a.m. one day. If he was paid at the rate of $6 per hour, how much did he earn that day? - CORRECT ANSWER $5.00 A woman is looking for a bigger square office. She finds an office twice the area of he...

AQA A-level GEOGRAPHY 7037/1 Paper 1 Physical Geography Version: 1.0 Final A-level GEOGRAPHY Paper 1 Physical Geography Insert This insert contains:  Figure 1 for use with Question 1  Figure 2 for use with Question 1  Figures 4a, 4b and 4c for use with Question 2  Figures 6a, 6b and 6c for use with Question 3  Figures 8a and 8b for use with Question 4  Figure 9 for use with Question 5  Figure 10 for use with Question 5  Figure 11 for use with Question 6 ...

Benchmark series 79An investor in Georgia acquired securities under a rule 147 intrastate offering and has now held them for eight months. Which of the following is true of the investors position? - correct answer The shades can be sold to another investor but may require a registation or exemption Rule 147 prohibits - correct answer The sale of securities to non-state residents for 6 months. Once 6 months have elapsed, the shares can be sold out of state, but must either be registered in tha...

Series 79 Exam Questions with Correct Answers.

Series 79 Exams Questions with Correct Answers.

Series 79 Exam Questions with Correct Answer1

FINRA Series 79 Exam Review 162 Questions with Verified Answers