Trust indenture act Study guides, Class notes & Summaries

SIE Exam for Dummies Book Questions and Answers Already Passed Where must a corporate charter be filed, and what information does it include? A corporate charter must be filed in the state where the corporation is founded. It should detail the founders' names, the type of business, the business location, and the number of authorized shares that can be issued. What does the Securities Act of 1933 regulate? The Securities Act of 1933 oversees the issuance of new corporate securities, manda...

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...

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...

Which of the following statements regarding discretionary accounts is TRUE? A) A branch manager must approve discretionary orders before entry. B) A principal must approve discretionary orders before entry. C) An order in which an investor designates the security's name, the number of shares, and whether to buy or sell and gives the agent discretion as to time and price only is not considered discretionary. D) The rules regarding churning of accounts do not apply to discretionary account...

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 ...

On the 2-year anniversary of their registration and every 3 years thereafter. - correct answerWhen must RRs complete the Regulatory Element of Continuing Education? True - correct answerTrue or False: Firm Element Continuing Education requires BDs to update employees on job and product-related subjects. U4 - correct answerTo apply for a securities license, one must file Form _____ with FINRA. Action (buy/sell), Amount (quantity), and Asset (security) - correct answerWhat three items mus...

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...

SIE Securities Industry Essentials Exam LICENSE EXAM MANUAL 3RD EDITION Contents SIE Exam and Industry Introduction 1 What Is the SIE? 1 How the Exam Is Structured 1 How to Make an Exam Appointment 2 On the Day of Your Exam 3 Knopman Marks Method 4 Financial Industry Introduction 5 Regulatory Entities and Agencies 6 Market Participants 7 Section 1: Understanding Products and Their Risks 11 1. Equity Securitie...

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...

On the 2-year anniversary of their registration and every 3 years thereafter. When must RRs complete the Regulatory Element of Continuing Education? True True or False: Firm Element Continuing Education requires BDs to update employees on job and product-related subjects. U4 To apply for a securities license, one must file Form _____ with FINRA. Action (buy/sell), Amount (quantity), and Asset (security) What three items must be specified on a not held order A not held order will be c...