Insider affiliate - Study guides, Class notes & Summaries

Series 79 Investment Banking Front-Running - correct answer Trading ahead of client orders Painting the Tape - correct answer Creating a misleading appearance of trading Pegging - correct answer Manipulative activity used to keep a price from falling Capping - correct answer Manipulative activity used to keep a price from rising Insider Trading Criminal Penalties - correct answer Individuals: max fine of $5m, 20 yrs Corporation: max fine of $25m Insider Trading Civil Penalties -...

Insider affiliate Correct Answer What threat type is a spouse, friend, or even client of an employee who uses the employee's credentials to gain access? Insider affiliate Correct Answer What threat type is a spouse, friend, or even client of an employee who uses the employee's credentials to gain access? 161 and 162 Correct Answer Which port numbers are used for SNMP? 161 and 162 Correct Answer Which port numbers are used for SNMP? 22 Correct Answer Which port number is used for SS...

UCE OCC Exam (Deck 3) Questions & Answers 2024/2025 Is it required for every bank to have a written policy regarding insider transactions - ANSWERSyes What law governs loans to executive officers for banks - ANSWERS12 USC 375a What law governs extensions of credit to executive officers, directors, and principal shareholders - ANSWERS12 USC 375b What is the main regulation governs insiders (reg o) - ANSWERS12 CFR 215 What regulation does the OCC have that governs extensions of cr...

Large accelerated filers correct answers subject to same size requirement as well seasoned issuers - $700 M of worldwide non affiliate market cap (voting and non-voting stock) Schedule 14A correct answers called the "proxy statement". It is required under the '34 Act prior to a regular or special shareholder meeting. The information in the proxy must be filed on 14A before soliciting a shareholder vote. Regulation A+ correct answers Regulation A+ exempts the registration of small securi...

The MTA Code of Ethics applies to: a. Members only b. Affiliates only c. CMT candidates d. All of the above - Answer- The MTA Code of Ethics applies to: d. All of the above An MTA Member or Affiliate using the MTA mailing list to send _____________ would not be in violation of the Code of Ethics: a. Research reports b. A free membership to a club c. Charting discount coupons d. CMT Newsletter - Answer- An MTA Member or Affiliate using the MTA mailing list to send ____________would n...

Series 79Rule 144 - correct answer Provides a safe harbor for permitting the sale of restricted and affiliate securities, without requiring registration Market Out Clause - correct answer Within an underwriting agreement, describes the circumstances under which an underwriter can cancel a purchase agreement without penalty Where are syndicate expenses deducted from? - correct answer The underwriting fee How long before do you need to register for an IPO to be unrestricted? - correct ans...

CMT Level 2 - Sample Exam | Updated with complete solution The MTA Code of Ethics applies to: a. Members only b. Affiliates only c. CMT candidates d. All of the above - The MTA Code of Ethics applies to: d. All of the above An MTA Member or Affiliate using the MTA mailing list to send _____________ would not be in violation of the Code of Ethics: a. Research reports b. A free membership to a club c. Charting discount coupons d. CMT Newsletter - An MTA Member or Affiliate using ...

The MTA Code of Ethics applies to: a. Members only b. Affiliates only c. CMT candidates d. All of the above correct answer: The MTA Code of Ethics applies to: d. All of the above An MTA Member or Affiliate using the MTA mailing list to send _____________ would not be in violation of the Code of Ethics: a. Research reports b. A free membership to a club c. Charting discount coupons d. CMT Newsletter correct answer: An MTA Member or Affiliate using the MTA mailing list to send _____...

The Exchange Act rule that prohibits trading in securities by a person having "material non-public" information is: Rule 10b-5 Which is the statute that sets forth provisions promulgated by the Board of Governors of the Federal Reserve System to regulate the extension of credit by brokers and dealers in connection with the purchase or carrying of securities? Regulation T Which agency is responsible for the provision to regulate the extension of credit by brokers and dealers i...

Insider affiliate - Answer What threat type is a spouse, friend, or even client of an employee who uses the employee's credentials to gain access? 161 and 162 - Answer Which port numbers are used for SNMP? 22 - Answer Which port number is used for SSH? Network, software or service available outside of normal internet traffic and search engines - Answer What is the darknet? Brute force - Answer Which type of password attack attempts every combination of characters? Sessi...