Prospectus - Study guides, Class notes & Summaries

The Characteristics and Risk of Standardized Options is the official disclosure document that must be provided to option customers at or before account approval. This document is designed to 1. protect investors from market risk. 2. fulfill the prospectus delivery requirements of the Securities Act of 1933. 3. disclose the risk of investing in options. 4. provide useful option strategies. A) III and IV B) I, II, III, IV C) I and II D) II and III Explanation The options clearing cor...

Accredited Wealth Management Exam Questions and Answers 100% Solved Adjusted Gross Income (AGI) ️️.An interim calculation in the computation of income tax liability. It is computed by subtracting certain allowable adjustments from gross income. Administrator ️️A person appointed by the court to settle an estate when there is no will. After-Tax Return ️️The return from an investment after the effects of taxes have been taken into account. Aggressive Growth Fund ️️A mutua...

Which description is true with regard to a 424(b) document? A) The 424(b) is a mandated report that focuses on internal control certifications under the Sarbanes Oxley Act. B) The 424(b) is the final prospectus. C) A 424(b) is an amended S-1. D) The receipt of a 424(b) must be confirmed in writing by an investor. correct answers B 424(b) is the final prospectus for a new issue. it must be received by investors NO LATER than TRADE SETTLEMENT. it can also be delivered ELECTRONICALLY. ...

1. Which of the following is a notice made in the financial press that formally announces a particular transaction, such as an IPO for stock placement? A. Omitting prospectus B. Preliminary prospectus C. Red herring D. Tombstone ad correct answers 1. D. The tombstone ad is a notice made in the financial press that formally announces a particular transaction, such as an IPO or stock placement. 2. One of the following is/are correct regarding stock splits in reverse stock splits? (1) a t...

Series 24 crunch time facts Question and answers correctly solved 2024/2025 Series 24 crunch time facts Chapter 1 - correct answer o The Effective Date of an IPO is determined by the SEC (NOT FINRA or the issuer). o If the SEC sues an issuer and underwriter for false statements and/or material omissions in a prospectus, the customer may still file a lawsuit against both the issuer and the underwriter. o What would preclude an issuer from obtaining WKSI status? Involvement in bankruptcy i...

Securities Industry Essential Regulation- Series 7 Exam || With 100% Accurate Solutions Securities Industry Essential Regulation- Series 7 Exam || With 100% Accurate Solutions All of the following activities are prohibited during the "cooling off" period EXCEPT: - ANSWER - -accepting an indication of interest from the customer for part of the issue A registered representative has prepared a research report about a new issue that is "in registration." Which statement is TRUE? - ANSWER ...

403(b) plans are available to the following groups of people: I. Government employees II. Employees of public educational institutions III. Employees of nonprofit organizations IV. Self-employed individuals A. II and III B. I and II C. I and IV D. III and IV - ️️A. II and III A broker-dealer can offer a discounted price for mutual funds in which case? Choose the best answer. A. If the shares have been available to the public for more than 90 days B. If the customer meets the b...

The Securities & Exchange Commission (SEC) was created by Congress in A 1929 B 1933 C 1934 D 1940 : 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 2 | P a g e 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 : The fact that the govern...

Securities Industry Essentials Exam For Dummies CHAPTER 5 - Securities Underwriting (The Process and Team Players) || With Complete Solutions (100% Correct) Securities Industry Essentials Exam For Dummies CHAPTER 5 - Securities Underwriting (The Process and Team Players) || With Complete Solutions (100% Correct) BBB Corporation is listed on an exchange and has 4.2 million shares outstanding. What is the maximum number of shares an insider can sell under Rule 144 on April 4 of the following...

Which of the following are characteristics of a money market mutual fund? 1. Shares are offered without a sales charge. 2. There is a redemption fee. 3. All purchasers must receive a copy of the prospectus. 4. The letter of intent must be signed within 16 months. correct answers Shares are offered w/o a sales charge and all purchasers must receive a copy of the prospectus In order to qualify as a REIT, A. a mortgage REIT must have at least 75% of the assets in government-insured mort...