Trust indenture - Study guides, Class notes & Summaries

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...

Corporate Insiders correct answers An officer, director, or > 10% shareholder Trust Indenture correct answers Details obligations of issuer and rights of bondholders, between trustee and issuer Affirmative Covenants correct answers Require issuer to perform certain actions (e.g. submit SEC filings, pay taxes) Negative Covenants correct answers Prohibit certain actions (e.g. paying special dividends) Financial Covenants correct answers Require issuer to maintain a certain credit pr...

SIE (Mastery Test) Exam Questions With Accurate Answers. All of the following are U.S. government agency debt securities EXCEPT A) Government National Mortgage Association securities B) Farm Credit Administration securities C) Federal National Mortgage Association securities D) Treasury notes - answerD) Treasury notes GNMA, Freddie & Fannie, Farm Credit Admin Numbers measuring the output of goods and services have been declining for just under 2 years. The economy would be characterized...

Intermediate Accounting Chapter 14 What does Long-Term consists of? - correct answer It consists of a probable future sacrifice of economic benefits arising from present obligations that are not payable within a year or the operating cycle of the company, whichever is longer. What is a bond and where does it arise from? - correct answer It arises from a contract known as a bond indenture and it represents a promise to pay (1) a sum of money at a designated maturity date, plus (2) periodic ...

SIE Study Guide question with verified solution 2023 Section 1: Knowledge of Capital Markets - correct answer The SEC purpose/mission when created jurisdiction authority - correct answer protect investos, maintin fair orderly & efficient markets, facilitate capital formation by congress in 1934 US federal government enforce federal security laws & create laws that regulate securities industry enforces Securities act 1933/1934, trust indenture act 1939, investment company ac...

IACCP (MASTER TERMS) QUESTIONS AND ANSWERS 2024 Assignment Any direct or indirect transfer or hypothecation of an investment advisory contract by the assignor Who is not an Investment Advisor? A Bank, Lawyer, accountant, engineer, teach whose performance of such services is solely incidental to the practice of his profession, Broker-dealer (commission only)published of any bona fide newspaper, magazine, business publication, rating systems (Moodys, etc.) Brainpower Read More ...

Do common stock holders have to right to inspect all books of a company? No, only certain items suchs as the income statement and balance sheet Order of asset distribution Taxes Secured debt Unsecured debt Preferred stock holders Common stock holders What type of corporate security is considered the riskiest? Common stock Of all securities, common stock has historically Provided the best hedge against inflation, best capital appreciation potential Classificati...

Financial Management - Exam 2 Verified Solutions Bond ️long-term debt security usually issued by a corporation or government body Bonds ️original maturity of 10 years or more Notes ️shorter term; 10 years or less Mortgage Bonds ️asset-backed securities; specific physical assets used as collateral Collateral Trust Bonds ️ABS; specific non-physical assets used as collateral. Example. Cash flows from specific projects, trademarks, copyrights Debentures ️unsecured bond; mu...

SIE – DEBT question and answers rated A+ already passed 2023All of the following are money market instruments EXCEPT - BAs - REPOs - CDs - ADRs - correct answer ADRs Which security is NOT subject to reinvestment risk - Zero coupon bonds - Low coupon bonds - Medium coupon bonds - High coupon bonds - correct answer Zero coupon bonds Treasury notes are issued by the US government in: I Bearer form II Book entry form III Minimum denominations of $100 IV Minimum denominations...

FINRA Series 7 Exam Questions & Answers 2023/2024 T-Bond - ANSWER-Usually 10-30 years that pay interest every 6 months. They are quoted exactly like T-Notes Securities Fund Service - ANSWER-SFS Swap Execution Facility - ANSWER-SEF None Deliverable Forward - ANSWER-NDF Direct Custody Clearing - ANSWER-DCC Office of Foreign Asset Control - ANSWER-OFAC What makes parity important when pricing convertible bonds? - ANSWER-The conversation rate can slip out of parity with what a b...