Prospectus 1933 Study guides, Class notes & Summaries

What does the Securities Act of 1933 regulate? correct answers regulates sales of new issues unless they are exempt or the transaction itself is exempt # of shareholders for C Corp Where can it be listed? Tax? correct answers Unlimited # of shareholders, can be listed on public exchanges, no pass through of gains/losses # of shareholders for S Corp Where can it be listed? Tax? correct answers Up to 100 shares, cannot be listed on exchange and can only be owned by domestic indiv...

Securities Act of 1933 Federal legislation requiring the full fair disclosure of all material information about the issuance of new securities. Securities Exchange Act of 1934 Federal legislation that established the Securities and Exchange Commission. The act aims to protect investors by regulating the exchanges, the over-the-counter market, the extension of credit by the Federal Reserve Board, broker/dealers, insider transactions, trading activities, client accounts, and net capital Secu...

The Securities & Exchange Commission (SEC) was created by Congress in A 1929 B 1933 C 1934 D 1940 - Answer- 1934 The Act of '34 created the SEC. The term 'disclaimer' is most often associated with A The fact that no agent can guarantee a customer against loss B The fact that unregistered securities are more risky than registered ones C The fact that the government cannot guarantee the accuracy of the information in a prospectus D None of the above - Answe...

Biz Org-Final UPDATED Exam Questions and CORRECT Answers Florida Business Corporations Act - Correct Answer- Governing Law of Corporations The Florida Securities and Investor Protection Act - Correct Answer- Also known as Florida Blue Sky Law, Governing law of Corporations Securities Act of 1933 - Correct Answer- Law governing when a Corp initially sells stock Form S-1 to register with the SEC, takes a while to get approved. Sells Prospectus Some exemptions to filing the S-1: "private...

SIe practice exam questions & answers 2023/2024 The Securities & Exchange Commission (SEC) was created by Congress in A 1929 B 1933 C 1934 D 1940 - ANSWER-1934 The Act of '34 created the SEC. The term 'disclaimer' is most often associated with A The fact that no agent can guarantee a customer against loss B The fact that unregistered securities are more risky than registered ones C The fact that the government cannot guarantee the accuracy of the informatio...

Large accelerated filers correct answers subject to same size requirement as well seasoned issuers - $700 M of worldwide non affiliate market cap (voting and non-voting stock) Schedule 14A correct answers called the "proxy statement". It is required under the '34 Act prior to a regular or special shareholder meeting. The information in the proxy must be filed on 14A before soliciting a shareholder vote. Regulation A+ correct answers Regulation A+ exempts the registration of small securi...

Business Cycle Order - Answer- Expansion, Peak, Contraction, Trough Notice Filing - Answer- A method of registering securities at the state level that is only for Federal Covered Securities Downturns in the business cycle or economic contractions are characterized by all of the following - Answer- higher consumer debt rising numbers of bond defaults rising numbers of bankruptcies Which of the following would be associated with loans made to member banks of the Federal Reserve? - Answe...

On the 2-year anniversary of their registration and every 3 years thereafter. When must RRs complete the Regulatory Element of Continuing Education? True True or False: Firm Element Continuing Education requires BDs to update employees on job and product-related subjects. U4 To apply for a securities license, one must file Form _____ with FINRA. Action (buy/sell), Amount (quantity), and Asset (security) What three items must be specified on a not held order A not held order will be c...

CFP Exam Questions & Answers 2024/2025 Savings Strategy: How much of your gross income should you save? - ANSWERS5-8% Securities Act of 1933 - ANSWERSPurchasers of new issues must be provided with a detailed prospectus before transaction. Securities Act of 1934 - ANSWERSRegulates the secondary Market or trading of issued securities. This act created the SEC Investment Company Act of 1940 - ANSWERSSEC can regulate UITs, Mutual funds, and variable life insurance/annuities. Securit...

ACC 480 Exam 4 practice Questions And Answers 100% Verified A merger between Blended Coffee Corporation and Cowland Creamery Inc. can be expressed as Blended Coffee + Cowland Creamery = - answerCowland Creamery. Ground-Up Construction Corporation (CCC) has a right of action against Heavyquip, Inc. Ground-Up Construction merges with Investors Development, Inc., with Investors absorbing Ground-Up. After the merger, Ground-Up's right of action against Heavyquip can be exercised by - answerI...