Fraudulent trading - Study guides, Class notes & Summaries

SIE Mastery Exam Practice Questions With Accurate Answers. Which of the following investments typically carries significant liquidity risk? A) T-bills B) Limited partnership C) Listed equities D) Mutual funds - answerB) Limited partnership Limited partnerships are not freely transferable and have no established secondary market. With an LP, assume you will own it through the life of the program. All the others listed have active secondary markets and are very liquid. Diversifying a por...

Exclusive Distribution - Answer-Situation where suppliers and distributors enter into an exclusive agreement that only allows the named distributor to sell a specific product. Electronic Data Interchange (EDI) Systems - Answer-The electronic interchange of business information using a standardized format; a process which allows one company to send information to another company electronically rather than with paper. Trading Partners - Answer-Business entities conducting business electronica...

Business Organisations - Sole Traders - Partnerships - Private Limited Companies - Public Companies - Community Interest Company Legal Personality - Veil of Protection - Piercing Veil of Protection Incorporation - Promoter - Pre-Incorporation Contract - Reqs - Articles of Association - Entrenchment - Secretaries Directors - Powers - Duties - Breach - Appointment - Removal - Loans - Declaration of Interest - Substantial Property Transaction - Remuneration - Disqual...

Exclusive Distribution - Answer- Situation where suppliers and distributors enter into an exclusive agreement that only allows the named distributor to sell a specific product. Electronic Data Interchange (EDI) Systems - Answer- The electronic interchange of business information using a standardized format; a process which allows one company to send information to another company electronically rather than with paper. Trading Partners - Answer- Business entities conducting business electro...

Clemson Law 3220 Chapter 5 Questions and Answers Rated A+ Positive or negative action that violates a penal law crime what is the purpose crime? punishment from the government who decides the criminality of actions? congress and state legistlatures _________________ are more serious than ____________________ felonies, misdemeanors Classifications (Class A, Class B) and degrees (first degree, second degree) denotes... seriousness of criminal charge murder and manslaughter are classified as w...

Exclusive Distribution - Situation where suppliers and distributors enter into an exclusive agreement that only allows the named distributor to sell a specific product. Electronic Data Interchange (EDI) Systems - The electronic interchange of business information using a standardized format; a process which allows one company to send information to another company electronically rather than with paper. Trading Partners - Business entities conducting business electronically. Streamline -...

Which corporate voting procedures entitles a shareholder to one vote per share, and votes must be divided evenly among the candidates being voted on? Statutory voting What market refers to the trading of exchange-listed securities in the over-the-counter market? These trades allow institutional investors to trade blocks of securities directly, rather than through an exchange, providing liquidity and anonymity to buyers. Third market An investor sells a naked call on Omikron for a...

Exclusive Distribution Situation where suppliers and distributors enter into an exclusive agreement that only allows the named distributor to sell a specific product. Electronic Data Interchange (EDI) Systems The electronic interchange of business information using a standardized format; a process which allows one company to send information to another company electronically rather than with paper. Brainpower Read More Previous Play Next Rewind 10 seconds Move forward 10 ...

Explain how the securities regulation is structured in Canada? - ANSWER-Security Regulators generally have a mandate to? 1. Protect investors from unfair,improper,fraudulent practices 2. Promote fair and efficient capital markets 3. Promote confidence in capital market 4. Reduce systemic risk Role of CSA-CANADIAN SECURITIES ADMINISTRATORS - ANSWER-Policy making body from Securities Regulators, a forum for Canada's Securities Regulators to improve , coordinate and harmonize regulations of...

Postmodernism - Answer -language is viewed as a form of social control: all forms of thought are mediated by language -Language privileges some points of view and disparages or disadvantages others -Postmodernists do not see traditional social science as any more valid than any other type of thinking of knowing Goals of Postmodernism - Answer -To deconstruct privileged points of view -To come to a situation in which different grammars (or ways of speaking) can be simultaneously held as le...