Series 79 - Solomon - Section 4 EXAM Questions || with 100% Errorless Answers. FINRA Series 79 Exam || Already Passed. Practice Questions Series 79 4/13 || Questions and 100% Verified Answers. Series 79 - Rules & Regulations, Series 79--All FINRA Rules || with 100% Error-free Answers. Series 79 - R...
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Debt to capitalization ratio use _____________ correct answers book value, including of equity Green shoe clause correct answers agreement allowing the underwriters to sell additional shares if demand is high for an offering of securities; can be in part or in full at any price can allow und...
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Add to cartDebt to capitalization ratio use _____________ correct answers book value, including of equity Green shoe clause correct answers agreement allowing the underwriters to sell additional shares if demand is high for an offering of securities; can be in part or in full at any price can allow und...
Assume the market S&P has increased 15% in value this year. XYZ Corp. Stock has increased 50% during the same time period. An investor who believed XYZ Stock would be a good investment now would be correct answers attempting to invoke a "Price Momentum" investment strategy. A "Price Momentum"...
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Add to cartAssume the market S&P has increased 15% in value this year. XYZ Corp. Stock has increased 50% during the same time period. An investor who believed XYZ Stock would be a good investment now would be correct answers attempting to invoke a "Price Momentum" investment strategy. A "Price Momentum"...
For book-building purposes, which SEC forms are used to track transactions by corporate insiders? correct answers Form 3, 4 and 5 track insider stock purchases and sales activities. They help identify an issuer's current shareholders who are insiders, for book-building purposes Any branch office...
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Add to cartFor book-building purposes, which SEC forms are used to track transactions by corporate insiders? correct answers Form 3, 4 and 5 track insider stock purchases and sales activities. They help identify an issuer's current shareholders who are insiders, for book-building purposes Any branch office...
FINRA Rule 5121 correct answers A member firm w/ a conflict of interest may not participate in a public offering unless: the nature of the conflict is prominently disclosed or the member complies with certain net capital, discretionary account and filing information, and a QIU participates in the of...
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Add to cartFINRA Rule 5121 correct answers A member firm w/ a conflict of interest may not participate in a public offering unless: the nature of the conflict is prominently disclosed or the member complies with certain net capital, discretionary account and filing information, and a QIU participates in the of...
Form U4 correct answers When registering with a broker-dealer, all RRs are required to complete this Uniform Application for Securities Industry Registration which discloses: 10-year employment history Any felony convictions, convictions for securities-related misdemeanors, or actions taken by...
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Add to cartForm U4 correct answers When registering with a broker-dealer, all RRs are required to complete this Uniform Application for Securities Industry Registration which discloses: 10-year employment history Any felony convictions, convictions for securities-related misdemeanors, or actions taken by...
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 mar...
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Add to cartPRE14A (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 mar...
RFP (Request for Proposal) correct answers An RFP is an invitation by an issuer to submit a proposal, via a competitive process, to complete for the lead underwriting role or participation in an offering. The potential underwriters will present financing scenarios, as well as a term sheet and fee pr...
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Add to cartRFP (Request for Proposal) correct answers An RFP is an invitation by an issuer to submit a proposal, via a competitive process, to complete for the lead underwriting role or participation in an offering. The potential underwriters will present financing scenarios, as well as a term sheet and fee pr...
Section 338(h)(10) Election correct answers - Refers to part of the tax code which allows a stock sale to be treated as an asset sale for tax purposes --> Debtor or trustee files w/ court --> BUYER BENEFITS by being able to increase the value of the target's assets to their fair value rath...
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Add to cartSection 338(h)(10) Election correct answers - Refers to part of the tax code which allows a stock sale to be treated as an asset sale for tax purposes --> Debtor or trustee files w/ court --> BUYER BENEFITS by being able to increase the value of the target's assets to their fair value rath...
Form S-4 correct answers business combinations and exchange offers Schedule 13E-3 correct answers "going private" LBO EV is ______________ of capital structure correct answers independent Are US government or agency securities exempt from SEC registration correct answers Yes, both US gove...
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Add to cartForm S-4 correct answers business combinations and exchange offers Schedule 13E-3 correct answers "going private" LBO EV is ______________ of capital structure correct answers independent Are US government or agency securities exempt from SEC registration correct answers Yes, both US gove...
Rank the following events in the order in which they occur in an M&A auction process :I. Seller gives a potential acquirer a tour of the key facilities II. Seller announces signing of a Definitive Agreement III. Buyers receive the Final Procedures Letter IV. Buyers submit final bids correct answ...
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Add to cartRank the following events in the order in which they occur in an M&A auction process :I. Seller gives a potential acquirer a tour of the key facilities II. Seller announces signing of a Definitive Agreement III. Buyers receive the Final Procedures Letter IV. Buyers submit final bids correct answ...
Invested Capital correct answers Average Equity + Average Net Debt Return on Assets (ROA) correct answers Net Income / Average Assets Return on Equity (ROE) correct answers Net Income / Average Stockholders' Equity Return on Invested Capital (ROIC) correct answers Adj. EBIT / Invested Capi...
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Add to cartInvested Capital correct answers Average Equity + Average Net Debt Return on Assets (ROA) correct answers Net Income / Average Assets Return on Equity (ROE) correct answers Net Income / Average Stockholders' Equity Return on Invested Capital (ROIC) correct answers Adj. EBIT / Invested Capi...
earnings yield correct answers EPS/Price or 1/PE P/E correct answers Price/ EPS Operating Leverage correct answers High levels of operating leverage exist when a firm's cost structure is primarily made up of fixed costs with low corresponding variable costs. This means that for a $1 increase ...
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Add to cartearnings yield correct answers EPS/Price or 1/PE P/E correct answers Price/ EPS Operating Leverage correct answers High levels of operating leverage exist when a firm's cost structure is primarily made up of fixed costs with low corresponding variable costs. This means that for a $1 increase ...
Financial maintenance covenants require borrower to... correct answers maintain or improve its credit profile by repaying debt and/or growing cash flow company executives that must participate when seeking a buyer correct answers CEO and CFO Which of the following transactions in association w...
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Add to cartFinancial maintenance covenants require borrower to... correct answers maintain or improve its credit profile by repaying debt and/or growing cash flow company executives that must participate when seeking a buyer correct answers CEO and CFO Which of the following transactions in association w...
Corporate Insiders correct answers An officer, director, or > 10% shareholder Trust Indenture correct answers Details obligations of issuer and rights of bondholders, between trustee and issuer Affirmative Covenants correct answers Require issuer to perform certain actions (e.g. submit SEC ...
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Add to cartCorporate Insiders correct answers An officer, director, or > 10% shareholder Trust Indenture correct answers Details obligations of issuer and rights of bondholders, between trustee and issuer Affirmative Covenants correct answers Require issuer to perform certain actions (e.g. submit SEC ...
A "confidential proxy" will be kept confidential by the SEC -Until the date of the shareholder vote -Until the date the S-4 becomes effective -Until the definitive proxy is filed correct answers Confidential until the definitive proxy is filed *If a preliminary proxy is marked "confidential"...
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Add to cartA "confidential proxy" will be kept confidential by the SEC -Until the date of the shareholder vote -Until the date the S-4 becomes effective -Until the definitive proxy is filed correct answers Confidential until the definitive proxy is filed *If a preliminary proxy is marked "confidential"...
Earnings yield correct answers Inverse of P/E ratio = 1/(P/E) ROE correct answers NI/ Avg Stockholders Equity ROA correct answers NI/ Average Assets A typical IPO process (7 steps) correct answers 1) Pitch for business (bake-off) 2)Win mandate 3)Sign engagement letter 4)File registration...
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Add to cartEarnings yield correct answers Inverse of P/E ratio = 1/(P/E) ROE correct answers NI/ Avg Stockholders Equity ROA correct answers NI/ Average Assets A typical IPO process (7 steps) correct answers 1) Pitch for business (bake-off) 2)Win mandate 3)Sign engagement letter 4)File registration...
order of events in IPO correct answers 1) Bake off 2) Win mandate 3) Sign Engagement Letter 4) File Registration Statement 5) Book build/marketing 6) Go effective (shares registered) 7) Confirm Allocations and distribute required rate of return correct answers Another name for the discount ...
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Add to cartorder of events in IPO correct answers 1) Bake off 2) Win mandate 3) Sign Engagement Letter 4) File Registration Statement 5) Book build/marketing 6) Go effective (shares registered) 7) Confirm Allocations and distribute required rate of return correct answers Another name for the discount ...
A corporation that elects to pass corporate income and losses to its shareholders is known as a(n) correct answers S Corporation Asset Backed Securities could be backed by all of the following EXCEPT correct answers corporate equipment In a Direct Participation Program, which of the following ...
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Add to cartA corporation that elects to pass corporate income and losses to its shareholders is known as a(n) correct answers S Corporation Asset Backed Securities could be backed by all of the following EXCEPT correct answers corporate equipment In a Direct Participation Program, which of the following ...
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 spec...
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Add to cartLarge 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 spec...
Rule 10b-18 correct answers Rule 10b-18 is a safe harbor that protects an issuer and its affiliated purchasers from liability for manipulation. In order to benefit from a Rule 10b-18 safe harbor, a company and its affiliated purchasers cannot bid at or settle at a purchase price that exceeds the hig...
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Add to cartRule 10b-18 correct answers Rule 10b-18 is a safe harbor that protects an issuer and its affiliated purchasers from liability for manipulation. In order to benefit from a Rule 10b-18 safe harbor, a company and its affiliated purchasers cannot bid at or settle at a purchase price that exceeds the hig...
All of the following factors are stabilizing factors in the value of a country's currency EXCEPT correct answers low per capita purchasing power The effective federal funds rate quoted in the business news represents the average rate for the previous correct answers day A company must meet on...
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Add to cartAll of the following factors are stabilizing factors in the value of a country's currency EXCEPT correct answers low per capita purchasing power The effective federal funds rate quoted in the business news represents the average rate for the previous correct answers day A company must meet on...
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