Green light 1 Questions & 100% Correct Answers- Latest Test | Graded A+ | Passed
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Module
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
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