Awl - Study guides, Class notes & Summaries

Exceptions for BD Agents correct answers The only exceptions that apply to a person working for a BD effecting securities transactions is in reference to WHO they sell to: 1.) Non-Resident Customer (30 day) -RR can continue to service customer even if he is not registered as an agent in the state in which the customer is temporarily located. -Time frame is 30 days or less 2.) New Resident Customer (60 day) -RR is not considered an agent in customers new state for a period of 60...

Form 144 must be filed with the SEC concurrently with the sale or earlier. within 10 days of the sale 5 days before the sale correct answers concurrently with the sale or earlier. Form 144, which alerts the SEC to the impending sale of unregistered or control stock, must be filed concurrently with or before the sale. The form must also be filed as amended if there is an inaccuracy or to indicate a change in broker. For an additional issue offering where the subject security is quo...

Zappos + Culture correct answers -values -What do you see in a company? -what a company says -What do you see/say about yourself? *Observational and Core Culture* Managers Must: correct answers 1. Develop culture 2. Encourage innovation 3. Manage change *DEM* Cultural Fit correct answers -#1 reason people leave jobs -lack of cultural fit -urban vs rural Culture Definition correct answers -system of shared beliefs/values guiding behavior (internal) -"the way we do things a...

According to the passage, which of the following activities was common to each band of Folsom Indians? A. Cultivating a number of different crops B. Eating a wide variety of wild game C. Interacting with other bands D. Making tools out of nearby rocks correct answers D. Making tools out of nearby rocks This question tests comprehension of passage information. The author explains: "An important conclusion from investigations at this site, as well as from comparisons to other Folsom h...

Which of the habits of mind or dispositions discussed in lesson 2.1a is reflected in the following quote? "When I started thinking about my assignment question, the first thing I did was to start applying some of the techniques that I had learnt in my course. My lecturer had talked about a set of criteria that could be applied to problems in my field, so I used that to start generating solutions." Check one option. A. Metacognition B. Self-confidence C. Being systematic D. Being open-min...

Nike has come a long way from its humble beginnings. It has been able to outperform adidas in sales and become the undisputed leader in the athletic shoe and apparel industry. Which of the following statements accurately explains one of the main reasons for Nike's success? A) It made the unorthodox move to spend basically its entire budget for a specific sport on a single star athlete. B) It focused on sponsoring future athletic superstars who embodied a likely success story. C) It spread it...

Governments exist to provide services correct answers no profit motive, no single measure of success Primary funding source = correct answers taxes (involuntary payments, because there is no ability to match services to those who provide the resource) Budget process = correct answers primary control device in government US Constitution provides two levels of government correct answers Federal and State State consitituions similar in that each defines the excutive and legislative brac...

Q. 468: In a system designed to work out the tax to be paid: An employee has �4000 of salary tax free. The next �1500 is taxed at 10% The next �28000 is taxed at 22% Any further amount is taxed at 40% Which of these groups of numbers would fall into the same equivalence class? A. �4800; �14000; �28000 B. �5200; �5500; �28000 C. �28001; �32000; �35000 D. �5800; �28000; �32000 - correct answers D Q. 469: The oracle assumption: A. Is that there is som...

What's the one thing 700mb upper air analysis charts don't show? Is the 400mb chart considered an upper air analysis chart? If no, what is it used for? correct answers Fronts No, used for sig wx charts. When can you expect CAT from WS on upper air analysis charts? correct answers When 30 kt isotacs are spaced closer than 90nm on 250 mb charts. On 500mb upper air analysis charts: What indicates stable pressure? On 250mb upper air analysis charts: What indicates instability? corre...

Which of the following actions by an agent would be an unethical practice under the NASAA Statement of Policy on Dishonest or Unethical Business Practices of Broker-Dealers and Agents? A) Recommending securities that result in major losses in the customer's account B) Telling a customer that the investment being recommended will be sold from the inventory of the broker-dealer and indicating on the trade confirmation that the firm acted in a principal capacity C) Splitting commissions with...