Green light 1 Questions & 100% Correct Answers- Latest Test | Graded A+ | Passed
3 views 0 purchase
Course
Green light
Institution
Green Light
An investment adviser representative advises a client in a low income tax bracket to
purchase municipal securities. Which of the following statements best describes this
action?
a. The advice by the representative is unethical
b. Advice concerning tax-free securities is excluded from the pr...
Registration by coordination is used together with which of the following federal acts?
✓ -:- the securities act of 1933
An agent is soliciting investors for a private placement of securities issued under Regulation
D. Which of the following choices are accredited investors according to Regulation D?
a) A couple with a net worth of $1 million, inclusive of their primary residence
b) A 55-year-old investor who has just taken early retirement, whose annual income was
$250,000 during the last two years
c)A corporation with $500,000 in assets
d) an insurance company
✓ -:- an insurance company
Under Regulation D accredited investors include:
Individuals with an annual income of at least $200,000 during the last two years who
reasonably expect to continue to earn that much in the future
A married couple with a joint annual income of at least $300,000 during the last two years
who expect that income to continue at that level
An individual or a couple with a net worth of at least $1 million, not including the value of
their primary residence
3|Page | Grade A+| 2024/2025
The benefits of buying summaries with Stuvia:
Guaranteed quality through customer reviews
Stuvia customers have reviewed more than 700,000 summaries. This how you know that you are buying the best documents.
Quick and easy check-out
You can quickly pay through credit card or Stuvia-credit for the summaries. There is no membership needed.
Focus on what matters
Your fellow students write the study notes themselves, which is why the documents are always reliable and up-to-date. This ensures you quickly get to the core!
Frequently asked questions
What do I get when I buy this document?
You get a PDF, available immediately after your purchase. The purchased document is accessible anytime, anywhere and indefinitely through your profile.
Satisfaction guarantee: how does it work?
Our satisfaction guarantee ensures that you always find a study document that suits you well. You fill out a form, and our customer service team takes care of the rest.
Who am I buying these notes from?
Stuvia is a marketplace, so you are not buying this document from us, but from seller Latestupdate. Stuvia facilitates payment to the seller.
Will I be stuck with a subscription?
No, you only buy these notes for $13.49. You're not tied to anything after your purchase.
