Finra series 79 exam - Study guides, Class notes & Summaries

SIE Exam (Lesson 13: FINRA Registration) Study Guide with Complete Solutions SEC ️️ Correct- Government agency whose primary mission is to matin the integrity of the US markets and protect investors (more big picture) SEC Empowers __________ with certain enforcement responsibilities within the securities industry ️️ Correct Self-regulatory organizations - FINRA (SRO) --> regulates broker-dealers and registered reps - MSRB (SRO) --> regulates municipal securities market, b...

Regulation FD - ANSWER-Unintentional disclosure of inside information must be reported within 24 hrs and intentional disclosures must be made public simultaneously Form U4 - ANSWER-Registers a representative with FINRA Statutory Disqualification - ANSWER-Individual cannot be employed by a FINRA member firm unless they receive a waiver from FINRA Amended U4 Timeline - ANSWER-30 days; disciplinary re-filing requires 10 days Form U5 - ANSWER-Filed with termination of registration within...

Exam (elaborations) WILEY FINRA SERIES VAN BLARCOM, JEFF -Wiley Serie What Is a Security? 1 Equity = Stock 2 Common Stock 2 Corporate Time Line 2 Values of Common Stock 4 Book Value 4 Par Value 5 Rights of Common Stockholders 5 Preemptive Rights 5 Characteristics of a Rights Offering 6 Determining the Value of a Right Cum Rights 7 Determining the Value of a Right Ex Rights 7 Voting 8 vi Contents Limited Liability 9 Freely Transferable 9 The Transfer Agent 10 The Registrar 10 ...

[WILEY FINRA SERIES]VAN BLARCOM, JEFF -Wiley Series 65 Exam Review 2016 + TEST BANK The Uniform Investment Advisor Law Exam Contents ABOUT THE SERIES 65 EXAM xxi ABOUT THIS BOOK xxv ABOUT THE TEST BANK xxvii ABOUT THE SECURITIES INSTITUTE OF AMERICA xxix CHAPTER 1 EQUITY SECURITIES 1 What Is a Security? 1 Equity = Stock 2 Common Stock 2 Corporate Time Line 2 Values of Common Stock 4 Book Value 4 Par Value 5 Rights of Common Stockholders 5 Preemptive Rights 5 Characteristics of a...

[WILEY FINRA SERIES]VAN BLARCOM, JEFF -Wiley Series 65 Exam Review 2016 + TEST BANK The Uniform Investment Advisor Law Exam WILEY SERIES 65 EXAM REVIEW 2016 WILEY FINRA SERIES This series includes the following titles: Wiley Series 3 Exam Review 2016 + Test Bank: National Commodities Futures Examination Wiley Series 4 Exam Review 2016 + Test Bank: The Registered Options Principal Examination Wiley Series 6 Exam Review 2016 + Test Bank: The Investment Company and Variable Contracts Produ...