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MERGERS AND ACQUISITIONS (M&A)SERIES 63 STUDY GUIDE WITH COMPLETE SOLUTION

Uniform Securities Act (USA) 1954 - ANSWER-Defined: MODEL LAW designed to guide each state in drafting its own state securities law (not any state law) Purpose: To prevent securities fraud at the state level Administrator - ANSWER-the official or agency that administers the state securities laws (person who makes sure nobody violates) - many questions about what administrator can do and when Who is a person? - ANSWER-Individuals, corporations, partnership, associations, unincorporated or...

An existing customer of a broker-dealer registered in State A is vacationing in State B. Can the broker-dealer solicit the customer? - ANSWER-The broker-dealer may solicit the customer in State B without registering in State B. If a broker-dealer effects a transaction in a state (unless an exemption is available), the broker-dealer must be registered in that state. One of the exemptions available, however, covers the instance where an existing customer of a registered broker-dealer is vacatio...

A person: - ANSWER-a legal entity that either trades or issues securities Conservatorship: - ANSWER-Estate where a court appointed guardian takes control of an incapacitated individual's financial, real estate, and other monetary affairs Broker/Dealer: - ANSWER-A firm that effects securities transactions for its own account or for the account of others When a firm acts for others' accounts: - ANSWER-It is acting as the agency, known as the broker. What is the USA Act: - ANSWER-Unif...

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