Accredited investor - Study guides, Class notes & Summaries

Series 79 SEC Rule 14d-10 - correct answer provides for equal treatment of shareholders in a tender offer, and is also called the best price rule. A bidder is required to treat shareholders equally by making the offer open to all of them for the same period, and at the same price. An exception or safe harbor is granted for changes in comp arrangements for executives of the company provided that the arrangements are made by a majority of independent board members. The board will perform this fun...

SIE FINRA Practice Exam QUESTIONS AND ANSWERS 2023 UPDATE GRADED A+ A married couple who earn over 300,000 currently as well as prior two years - Correct Answer- Accredited Investor Which of responses describes an advantage of index funds - Correct Answer-The protection of principal during bearish markets Under a system of statutory voting, a common stockholder has as many votes for each vacancy on the board of directors as the number of: - Correct Answer-proxies available for voting by t...

Series 79 - Key Concepts Regulation A/A+ - correct answer - Mini IPO - Form 1A - Offering Circular in place of a prospectus Tier 1 Reg A+ - correct answer Up to $20mm public capital raised per year Tier 2 Reg A+ - correct answer Up to $75mm public capital raised per year Section 4(a)(2) and 4(a)(5) of 1933 act - correct answer Private Placement: Allow an issuer to sell unregistered securities privately Reg D Safe Harbor - Rule 504 - correct answer Max Deal Size: $10mm - Unlimited...

The securities industry's primary regulatory body and created under what act? - SEC, Securities Exchange Act of 1934 Function under the SEC's oversight and is accountable to the Commission for enforcing federal securities laws, as well as supervising securities practices within an assigned jurisdiction. - Self Regulatory organizations (SRO) what are the largest SROs - Financial Industry Regulation Authority (FINRA), Chicago Board Options Exchange (CBOE), Municipal Securities Rulemaking B...

FINRA Website SIE Practice Exam Questions & Answers A firm is a participant in a public offering. To sell a substantial amount of the securities to its customers, the firm agrees to repurchase the shares at no less than the original cales price. Such agreements are: A. Prohibited as fraudulent and manipulative B. Permissible if the securities are deposite into escrow C. Prohibited unless the firm immediately sets aside funds for the repurchase D. Permissible if the customers retain the ri...

The securities industry's primary regulatory body and created under what act? - ️️SEC, Securities Exchange Act of 1934 Function under the SEC's oversight and is accountable to the Commission for enforcing federal securities laws, as well as supervising securities practices within an assigned jurisdiction. - ️️Self Regulatory organizations (SRO) what are the largest SROs - ️️Financial Industry Regulation Authority (FINRA), Chicago Board Options Exchange (CBOE), Municipal Secur...

Real Estate-Property Management Exam with 100% Complete Solutions | Verified & Updated 2024 A.M.O. - Answer ️️ -Accredited Management Organization: A firm that meets the guidelines of the Institute and utilizes at least one CPM can be designated as an AMO A.R.M. - Answer ️️ -ACCREDITED RESIDENT MANAGER (ARM®) designation for the on-site manager who successfully completes a prescribed educational program, meets an experience requirement, and subscribes to IREM's ethical code and...

§338 (including its various subsections such as §338(h)(10) of the Internal Revenue Code correct answers permits, if all conditions are met, a stock sale to be treated as an asset sale for tax purposes. This allows the seller the benefits of a stock sale (i.e. clean exit of the business) and provides the buyer with potential value enhancement from the tax shield generated from the asset step-up. DEFM14A correct answers SEC filing code for a merger proxy. A solicitation of shareholder votes ...

A married couple who earn over 300,000 currently as well as prior two years correct answers Accredited Investor Which of responses describes an advantage of index funds correct answers The protection of principal during bearish markets Under a system of statutory voting, a common stockholder has as many votes for each vacancy on the board of directors as the number of: correct answers proxies available for voting by the board Which security types provides investors with a stated maturit...

Securities Industry Essentials Exam Questions With Correct Solutions What is an SRO, list them. - ANS Self Regulated Organization 1. FINRA (Financial Industry Regulatory Authority) 2. CBOE (Chicago Board Options Exchange) 3. MSRB (Municipal Securities Rulemaking Board) Federal Reserve Board (FRB), what is its main function - ANS Determines monetary policy . The FRB determines through its actions how much money is available for businesses and consumers to spend. Securities Investor ...