Series 79-Top Off || with 100% Accurate Solutions.
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Module
Series 79-Top Off
Institution
Series 79-Top Off
Form 3 Individual becomes corp insider correct answers Filing deadline 10 days
Form 4 Corp insider changes holdings correct answers Filing 2 business days
Form 5 Corp insider reports in SEC not public market correct answers Filing Deadline 45 calendar days of fiscal year end
13D Statement ...
Series 79-Top Off || with 100% Accurate Solutions.
Form 3 Individual becomes corp insider correct answers Filing deadline 10 days
Form 4 Corp insider changes holdings correct answers Filing 2 business days
Form 5 Corp insider reports in SEC not public market correct answers Filing Deadline 45
calendar days of fiscal year end
13D Statement of beneficial ownership of greater than 5% - active investors correct answers
filing deadline 10 calendar days of transaction - proptly for any material change of ownership
(1%) or intentions
13G Passive statement of beneficial ownership greater than 5% correct answers Filing deadline
45 calendar days of calendar year end when owning >5%; 10% must be filed at the end of that
month; 20% they must filed a 13D
13E-3 Going Private correct answers Concurrently with a tender offer, registration statement, or
other privatization document
13F Quarterly filing by institutional managers ($100mm+ in assets) correct answers 45 calendar
days of quarter end
Form 144 - Corporate insider preparing to sell shares correct answers filing deadline up to first
day of 90-day period when shares are sold
10 Q - Large accelerated correct answers Filing deadline 40 calendar days; Public float >$700M
10K Large Accelerated correct answers 60 calendar days
10K Accelerated filer correct answers 75 calendar days
10K Non-accelerated filer correct answers 90 Calendar days
10K smaller reporting correct answers 90 calendar days
8-k correct answers 4 business days of event
PRE14A correct answers Filed with SEC 10 days prior to definitive proxy
, DEF14A correct answers Distributed to shareholders and filed with SEC 20 days prior to
shareholder meeting - online 40 days prior to shareholder meeting
Schedule TO correct answers Filed to commence offer, must be made available for at least 20
business days
S-4 correct answers Merger registration
S-8 correct answers Employee Benefits Plans
S-11 correct answers REITs
Deferred Tax Assets correct answers Accelerating expenses for Accounting purposes;
Accelerating revenues for tax purposes
Deferred Tax Liabilities correct answers Accelerating expenses for tax purposes; accelerating
revenues for accounting purposes
Reg M prohibits firms from buying at the offering price to cover short positions established
within correct answers 5 business days of the effective date
Representation letters used to qualify customers to buy IPOs must be dated within correct
answers 12mo prior to purchase
File Form 144 correct answers Concurrent with sale - Covers 90 days (4 times a year or every 90
days)
Form 147 correct answers 10 Business days prior to sale
Online recorded road show correct answers SEC FWP
Uniform practice code requires that corporate syndicate accounts must be settled within correct
answers 90- days of syndicate settlement date
Reg A correct answers 48 hours prior to confirmation of sale
Red herring delivered correct answers 48 hours prior to trade confirmation
Schedule 13F correct answers 45 days to quarter end
Underwriters comp filed with finra no later than correct answers 1 business day after the
registration is filed with the SEC
For F-6 correct answers ADRs
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