Fed securities - Study guides, Class notes & Summaries
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CFIRS I QUESTIONS AND ANSWERS
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Employee Benefit and Retirement Accounts - Answer-Which of the following types of accounts make up 
the majority of non-managed asset products? 
Investment Management & Advisory Accounts - Answer-Which of the following types of accounts make 
up the majority of managed asset products? 
Legislation - Answer-_______________is a law which has been enacted by a legislature and signed into 
law by the governor or president. 
Regulation - Answer-___________ is a rule created by an administrative agenc...
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SIE Exam | Questions & 100% Correct Answers (Verified) | Latest Update | Grade A+
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Federal Reserve Board 
: Founded on December 23rd 1913, to oversee financial panics. Independent of 
direct political influence. Federal Reserve Act was passed to stabilize prices, maximize 
employment, moderate long term interest. 
FINRA vs MSRB 
: FINRA oversees brokerage firms and their associated persons. 
MSRB- regulates the municipal securities market including dealers, municipal advisers, 
and issuers. 
Municipal Securities Rulemaking Board 
Structure of the Fed 
: The Board of Gover...
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NMLS Study Guide 2023-2024 with Complete Solutions
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NMLS Study Guide with Complete SolutionsNMLS Study Guide with Complete SolutionsNMLS Study Guide with Complete SolutionsNMLS Study Guide with Complete Solutions 
Portfolio Lender - ANSWER-Retail lender (ex. a bank, savings bank, credit union, or mortgage lender) that interacts directly with the borrower and actually makes the loan. If it holds, rather than sells, it's loans, it is called a portfolio lender. 
 
Correspondent Lender - ANSWER-Generally a smaller lender that takes apps and unde...
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CFP EXAM 2024 WITH 100% ACCURATE SOLUTIONS
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CFP EXAM 2024 WITH 100% ACCURATE SOLUTIONS 
 
 
Savings Strategy: How much of your gross income should you save? - correct answer 5-8% 
 
Securities Act of 1933 - correct answer Purchasers of new issues must be provided with a detailed prospectus before transaction. 
 
Securities Act of 1934 - correct answer Regulates the secondary Market or trading of issued securities. This act created the SEC 
 
Investment Company Act of 1940 - correct answer SEC can regulate UITs, Mutual funds, and variable ...
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Series 65 - Third Times a Charm || Already Passed.
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Prospectus (1933) correct answers -all material facts 
-given no later than w/confirmation of sale 
-all forms of communication except word of mouth 
 
Estate tax correct answers -unlimited amount to US spouse/charity, no fed tax 
-Assets sold at FMV 
-Payment no more than 9 months after death 
 
Form ADV correct answers 1A: -locations (all states registered in) 
-form and method of business and activities 
-control person details 
-custody/discretion 
-disciplinary history 
1B: -Only required b...
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CFP Exam Questions & Answers 2024/2025
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CFP Exam Questions & Answers 2024/2025 
 
 
Savings Strategy: How much of your gross income should you save? - ANSWERS5-8% 
 
Securities Act of 1933 - ANSWERSPurchasers of new issues must be provided with a detailed prospectus before transaction. 
 
Securities Act of 1934 - ANSWERSRegulates the secondary Market or trading of issued securities. This act created the SEC 
 
Investment Company Act of 1940 - ANSWERSSEC can regulate UITs, Mutual funds, and variable life insurance/annuities. 
 
Securit...
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2024 SIE Exam - Complete Solutions (Answered)
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2024 SIE Exam - Complete Solutions (Answered) An investor purchased 100 units of the Connecticut Municipal Securities Trust. Which of the following statements concerning this investment in the UIT is accurate? A The shares must be liquidated in the open market and offer reinvestment provisions back into the trust B The shares are redeemable and offer reinvestment provisions back into the trust C The shares are redeemable but do not offer reinvestment provisions back into the trust D The shares...
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WGU C206 ELI Questions and Answers
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equal is about 
~ outcomes 
everyone has equal change to do job well and know the rules 
as an accountant in industry you are not 
~ required legally by the profession to blow the whistle 
you are required to act with integrity 
internal whistleblowing 
~ report misconduct to high ranking auth in comp/org 
confidentiality rules 
SOX: hotlines and anon tips 
why are anonymous tips problematic 
~ no follow up (can't ask further questions) 
SOX hotlines 
~ overseen bu audit committee or BoS and ar...
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SIE EXAM 2024 LATEST UPDATE QUESTIONS AND VERIFIED ANSWERS GRADED A++
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SIE EXAM 2024 LATEST UPDATE QUESTIONS AND VERIFIED ANSWERS GRADED A++ 
 
 
Federal Reserve Board 
Founded on December 23rd 1913, to oversee financial panics. Independent of direct political influence. Federal Reserve Act was passed to stabilize prices, maximize employment, moderate long term interest. 
FINRA vs MSRB 
FINRA oversees brokerage firms and their associated persons. 
MSRB- regulates the municipal securities market including dealers, municipal advisers, and issuers. 
Municipal Securiti...
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SIE EXAM 2024 LATEST UPDATE QUESTIONS AND VERIFIED ANSWERS GRADED A++
- Exam (elaborations) • 28 pages • 2024
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- $9.99
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SIE EXAM 2024 LATEST UPDATE QUESTIONS AND VERIFIED ANSWERS GRADED A++ 
 
 
Federal Reserve Board 
Founded on December 23rd 1913, to oversee financial panics. Independent of direct political influence. Federal Reserve Act was passed to stabilize prices, maximize employment, moderate long term interest. 
FINRA vs MSRB 
FINRA oversees brokerage firms and their associated persons. 
MSRB- regulates the municipal securities market including dealers, municipal advisers, and issuers. 
Municipal Securiti...
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