Private placements - Study guides, Class notes & Summaries

Series 79, Chapter 13 - Private PlacementsWhat are the qualifications for an offering to be considered a Private Placement? - correct answer (1) sophisticated investors, (2) ability to bear the investment's economic risk, (3) parties must have access to the type of information normally provided in a prospectus, (4) parties must agree not to resell the securities to the public. (13-395) PPM - correct answer Private Placement Memorandum - the disclosure document prepared for circulation to pot...

STC SIE Exam Final Practice Questions and Answers Already Passed Which aspect of periodic payment variable annuities remains unchanged for the holder? A. The quantity of annuity units held by the client remains constant. B. The total number of accumulation units for the client remains fixed. C. Annuity agreements do not include beneficiaries. D. The monthly payment amount adjusts according to the inflation index. A. The quantity of annuity units held by the client remains constant. ...

Series 79 Private placements can be sold to (Reg. D): - correct answer Unlimited number of accredited investors, and up to 35 non-accredited investors Accredited investors - correct answer Officers/directors of an Issuer Financial institutions (regardless of their assets) Trusts & Business Partnerships with $5mm+ in assets Individuals with $200k+ in income or $1mm+ of net worth What is the threshold for defining a large accelerated filer? - correct answer $700mm worldwide non-affiliate...

How many days before ____ must PRE14A be filed correct answers 10 calendar days before DEF14A DEF14A must be filed with SEC and send to shareholders ____ days before ______ correct answers 20 calendar days before shareholder meeting A tender offer must be made available to shareholders for at least.... correct answers 20 business days 14D-9 target's BoD must _____within _____ days of the schedule TO offering correct answers respond with recommendation within 10 business days Fin...

BUSI 22 Chapter 13&14 QuizBUSI 22 Chapter 14 Quiz TV programs that are devoted exclusively to promoting a product or service are known as _________. A. product placements B. sales promotions C. testimonials D. infomercials E. public relations - correct answer D. infomercials Laura works for a large pharmaceutical company. She regularly calls on physicians to discuss her company's products with them, leave product samples, and encourage the physicians to prescribe the medicati...

Series 79Statutory disqualification - correct answer convicted in the past 10 years of any crime involving funds or securities OR expulsion from an SRO, SEC, CFTC, or any other regulatory agency Waiting period after failing Series 79 - correct answer 30 days for the first and second attempt, 180 for each subsequent attempt Continuing education - correct answer starts on second anniversary and every three years after; if not completed in 120 days, person will become inactive; registered per...

PRE14A (preliminary proxy) correct answers must be filed with the SEC at least 10 calendar days prior to filing a definitive proxy with the SEC (DEF 14A) Preliminary proxies can be kept from public disclosure until they become definitive, but only if they adhere to certain rules. They must be marked confidential and public communication must have been limited to a basic Rule 135 announcement. Confidentiality is not allowed in going private and rollup transactions. DEF 14A (definitive proxy) ...

agent correct answers An individual who represents a broker/dealer or an issuer when selling or trying to sell securities to the investing public. This individual is considered an _____ whether he or she actually receives or simply solicits orders. Also known as "registered representatives." Two types of agents correct answers An individual who represents a broker dealer in effecting or attempting to effect securities transactions (an entrepreneur selling stock in his own company to raise c...

Solution Manual for Intermediate Accounting (Volume 1) 8th Canadian Edition By Thomas H. Beechy, Joan E. Conrod, Verified All Chapters Complete (Newest Version) Intermediate Accounting Volume 1 8E Thomas H. Beechy, Joan E. Conrod, Elizabeth Farrell, Ingrid McLeod-Dick, Kayla Tomulka, Romi-Lee Sevel All Chapters 1-11 [With Appendix] Chapter 1: The Framework for Financial Reporting Case 1-1 Mulla and Yang 1-2 Richard Wright 1-3 Taylor Jay Suggested Time Technical 1-1 Chapter overview...

SIE Exam Questions & Answers 2023/2024 Rule 144 - ANSWER-how restricted/control stock can be sold to the public Rule 144A - ANSWER-allows QIBS to trade unregistered shares through PORTAL intrastate offerings are... - ANSWER-exempt transactions (rule 147) Rule 147 - ANSWER-intrastate offerings 1st market - ANSWER-auction markets, trade listed securities on exchanges including NASDAQ NASDAQ is - ANSWER-part of 1st market, negotiated 2nd market - ANSWER-negotiated, trades OTC, ...