In 1940 - Study guides, Class notes & Summaries

EPA Lead Inspector questions and answers latest top score. Lead-based paint (LBP) - correct answers.Any varnish, shallac, or coating that contains either- 1.0 mg/cm2 - 0.5 % by weight - 5000 ppm - Older instruments could not read accurately at 0.7, so the lead standard was updated to 1.0 Dust sample clearance values - correct answers.- Floors: 40 μg/ft2 > 10 μg/ft2 (10 μg/ft2 in NY) - Windows: 250 μg/ft2 > 100 μg/ft2 (50 μg/ft2 in NY) - Window wells (troug...

TSI Testing 126 Questions with Verified Answers In 2010, talk show host Oprah Winfrey and novelist Jonathan Franzen kissed and made up after a nine-year feud. In 2001, Franzen was disinvited from appearing on Winfrey's TV show to pitch his novel The Corrections after he made it clear that he was unhappy about the book's being chosen for the Oprah Book Club. Describing his work as "in the high-art literary tradition," Franzen said he didn't want to be associated with the Club, which he a...

Section 1: Knowledge of Capital Markets - ANSWER The SEC purpose/mission when created jurisdiction authority - ANSWERprotect 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 act 1940, investment advisors act 1940 SROs (Self-Regulatory Organizati...

Under the Uniform Securities Act, which individual is considered to be an agent? A secretary who accepts customers' securities orders A principal of a broker-dealer A person who solely performs clerical functions A silent partner of a broker-dealer correct answers A secretary who accepts customers' securities orders Registration by coordination is used in conjunction with which of the following Acts? The Securities Act of 1933 The Securities Exchange Act of 1934 The Investment Co...

ERISA - Answer- Employee Retirement Income Security Act 1974 SOC Reports - Answer- Service Organization Controls: for external vendors SOC 1 - Answer- Internal Controls & Financial reports; used by auditors SOC 2 - Answer- Security, availability, processing integrity, confidentiality and privacy controls;used by management, regulators, and others under an NDA SOC3 - Answer- Same as SOC2, but available for public use. Tribble V Edison - Answer- Landmark court case re fiduciary resp...

Utah SFO Final| 250 questions| with complete solutions. When should you get a written statement (4 reasons) correct answer: -Reluctant -Key witness -Will not be able to testify -May change statement in court Brown V. Mississippi 1936 correct answer: Use of force in obtaining a confession will make the confession inadmissible in court 4 behavioral signs of addiction correct answer: Neglecting responsibilities -Unexplained reasons for money -Engaging in suspicious behavior -Taking unnece...

corp or trust of pooled funds to invest in large diversified portfolios correct answers investment company professional management diversification lower transaction cost correct answers benefit of investment company raise capital by selling share to public registration and prospectus requirement correct answers Securities ACT of 1933 SEC regulation of investment companies how shares sold to public correct answers Investment Company Act of 1940 investment company correct answers ...

The provision that certain mutual fund policies cannot be changed without shareholder approval is addressed in the A) Investment Company Act of 1940. B) Securities Exchange Act of 1934. C) Investment Advisers Act of 1940. D) Securities Act of 1933. ~~> A) Investment Company Act of 1940. The regulation of mutual funds is covered in the Investment Company Act of 1940. A major responsibility of FINRA is A) developing rules and regulations for its members. B) establishing rules for...

Which U.S. regulatory body is responsible for overseeing the derivatives market? - correct answer-The U.S. Commodity Futures Trading Commission (CFTC) Of the following U.S. federal statutes, which one provides registration and regulation of persons and entities who are engaged in providing advice to others? A.The Securities Act of 1933 B. The Securities Exchange Act of 1934 C. The Investment Advisers Act of 1940 D. The Investment Company Act of 1940 - correct answer-C. The Investment Advi...

Trait Theories correct answer From s - First style of theories Consisted of Theories such as "The Great Man Theory," which believed leaders were born with traits such as charisma, not made. Leaders different from followers due to innate key traits that DO NOT change over time - Age - Height - Sex - Family - Intelligence issues with trait theory correct answer - Many traits have been identified, non seem to be necessary - Does not factor in the situation or environment Behavi...