Securities act of 1933 Study guides, Class notes & Summaries
Looking for the best study guides, study notes and summaries about Securities act of 1933? On this page you'll find 635 study documents about Securities act of 1933.
Page 4 out of 635 results
Sort by
-
CFIRS I QUESTIONS AND ANSWERS
- Exam (elaborations) • 29 pages • 2024
- Available in package deal
-
- $7.99
- + learn more
Employee Benefit and Retirement Accounts - Answer-Which of the following types of accounts make up 
the majority of non-managed asset products? 
Investment Management & Advisory Accounts - Answer-Which of the following types of accounts make 
up the majority of managed asset products? 
Legislation - Answer-_______________is a law which has been enacted by a legislature and signed into 
law by the governor or president. 
Regulation - Answer-___________ is a rule created by an administrative agenc...
-
SIE Chapter 2 Latest Update Graded A+
- Exam (elaborations) • 9 pages • 2024
-
Available in package deal
-
- $9.99
- + learn more
SIE Chapter 2 Latest Update Graded A+ 
 
Which government agency oversees the regulation of broker-dealers and aims to protect 
investors while ensuring fair and efficient trading in the primary markets? The Securities and 
Exchange Commission (SEC) 
 
What types of transactions fall under the SEC's jurisdiction? Transactions involving 
securities that occur across state lines 
 
What are Self-Regulatory Organizations (SROs), and give an example? Organizations like 
FINRA that oversee day-to-da...
-
Securities Industry Essentials Comprehensive Cert. Exam (2024) || With 100% Accurate Solutions
- Exam (elaborations) • 75 pages • 2024
-
Available in package deal
-
- $16.99
- + learn more
Securities Industry Essentials Comprehensive Cert. Exam (2024) || With 100% Accurate Solutions 
Securities Industry Essentials Comprehensive Cert. Exam (2024) || With 100% Accurate Solutions 
 
Which are the safest of all securities? - ANSWER - U.S. government securities such as Treasury notes (T-notes): they're backed by the fact that the government can always print more money to pay off the securities that it issues 
 
How do you determine current yield? - ANSWER - current yield = (annual int...
-
Series 79 questions with complete solution
- Exam (elaborations) • 39 pages • 2024
- Available in package deal
-
- $21.99
- + learn more
Series 79Don’t have to register securities if - correct answer 1. securities are exempt 
2. Transaction is exempt 
 
C Corp - correct answer Big corp 
 
Can file to be public 
 
Does not pass through gains & losses to shareholders (pays corporate income tax) 
 
Anyone can invest 
 
Taxed at favorable rates if held for more than 1 year 
 
S Corp - correct answer Small corp 
 
Max 100 shareholders 
 
Ineligible to list on exchange 
 
PAss through gains & losses to shareholders (does not pay cor...
-
IACCP (MASTER TERMS) LATEST UPDATED 2024/2025
- Exam (elaborations) • 30 pages • 2024
-
- $9.49
- + learn more
IACCP (MASTER TERMS) LATEST UPDATED 2024/2025 
Assignment - Correct Answer Any direct or indirect transfer or hypothecation of an investment advisory contract by the assignor 
 
Who is not an Investment Advisor? - Correct Answer 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.) 
 
Wh...
And that's how you make extra money
-
Series 65 Exam Prep || Already Graded A+.
- Exam (elaborations) • 28 pages • 2024
-
Available in package deal
-
- $13.49
- + learn more
Definition of Security correct answers 1. Investment of money 
2.In a common enterprise 
3. With an expectation of profit 
4.Results solely from the efforts of others 
 
What are considered securities? correct answers 1. Stock 
2. Bond 
3. Debenture 
4. Right or warrant 
5. Note 
6. Put, call, straddles, privileges on securities or other option 
7.Limited Partnership interest 
8. Certificate of interest in a profit-sharing agreement 
9.Treasury Stock 
10. Evidence of indebtedness 
11. Collatera...
-
Poss. Test Questions & Answers 2024
- Exam (elaborations) • 16 pages • 2024
-
Available in package deal
-
- $9.49
- + learn more
Poss. Test Questions & Answers 2024 
 
 
A 68 year-old client of yours indicates that he is interested in changing the portfolio mix of his IRA to become largely invested in noninvestment grade bonds. You would probably infer from this that the client: - ANSWER-A) has insufficient retirement savings. 
 
Most studies have indicated that seniors with insufficient retirement savings attempt to compensate by being tempted to reach for higher yields to maximize retirement income without full conside...
-
Business Law for Accountants - D216 Western Governors University WGU Final guide with complete solution
- Exam (elaborations) • 10 pages • 2024
- Available in package deal
-
- $11.49
- + learn more
Business Law for Accountants - D216 Western Governors University WGU Final guide with complete soluti 
Scienter Answer - A person has knowledge of wrongdoing and intent of wrongdoing 
 
Sox act of 2002 Answer - created the public company accounting oversight board, It states high level managers (CFO, CEO, Senior roles) must maintain an effective system of internal controls. Internal controls get checked by senior management annually 
 
Outside Directors Answer - oversee the accounting process...
-
Securities Industry Essentials PASSED Actual Exam Questions and CORRECT Answers
- Exam (elaborations) • 23 pages • 2024
- Available in package deal
-
- $10.49
- + learn more
Securities Industry Essentials PASSED 
Actual Exam Questions and CORRECT 
Answers 
Securities Act of 1933 - CORRECT ANSWER-Governs the new issuance (primary) 
market, which involves the money-raising activities of issuers. Requires issuers to register 
their securities when selling to the public. 
Securities Exchange Act of 1934 - CORRECT ANSWER-Governs trading markets for 
existing securities and registration requirements of BDs, BD employees, and exchanges
-
LES 305 ASU Koretz final exam Rated 100% Correct!!
- Exam (elaborations) • 22 pages • 2024
- Available in package deal
-
- $7.99
- + learn more
"Fair-Disclosure Rule" (Regulation FD) - Federal securities regulation that requires publicly traded 
companies to distribute information to the market as a whole and not to selected investment firms, 
analysts, or investors; a means of distributing to the market in a fair and open fashion the financial 
reports and pending and evolving issues of publicly traded company. 
10-K Form - Annual report filed with the SEC; required of all 1934 Act firms. 
10-Q Form - Quarterly report filed with the ...
Did you know that on average a seller on Stuvia earns $82 per month selling study resources? Hmm, hint, hint. Discover all about earning on Stuvia