Prospectus 1933 - Study guides, Class notes & Summaries

Debt Management Ratio - ️️PITI (principal, interest, taxes, insurance) < 28% of Gross income Total Debt < 36% Consumer Debt < 20% Current Ratio - ️️Current assets / Current liabilities Quick Ratio - ️️(Current equivalents / Marketable securities / Accounts receivable) / Current liabilities Mutual Fund Prospectus - ️️- investment objectives - investment strategies - risks of investing in the fund - past performance - distribution policy - fees and expenses - ...

The Securities & Exchange Commission (SEC) was created by Congress in A 1929 B 1933 C 1934 D 1940 : 1934 The Act of '34 created the SEC. The term 'disclaimer' is most often associated with A The fact that no agent can guarantee a customer against loss 2 | P a g e B The fact that unregistered securities are more risky than registered ones C The fact that the government cannot guarantee the accuracy of the information in a prospectus D None of the above : The fact that the govern...

FSA EXAM QUESTIONS AND CORRECT ANSWERS WITH EXPLANATIONS Which of the following statements is TRUE regarding an omitting prospectus for an investment company? Investment advisers may not omit a prospectus under any circumstances Performance data may not be included An application to invest may be included An investor must be informed that she should read the full prospectus - Answer-D Certain investment company advertising may be published even if it meets the definition of a prospectus. ...

Securities Industry Essentials Exam For Dummies CHAPTER 5 - Securities Underwriting (The Process and Team Players) || With Complete Solutions (100% Correct) Securities Industry Essentials Exam For Dummies CHAPTER 5 - Securities Underwriting (The Process and Team Players) || With Complete Solutions (100% Correct) BBB Corporation is listed on an exchange and has 4.2 million shares outstanding. What is the maximum number of shares an insider can sell under Rule 144 on April 4 of the following...

Definition of Security correct answers 1. Investment of money 2.In a common enterprise 3. With an expectation of profit 4.Results solely from the efforts of others What are considered securities? correct answers 1. Stock 2. Bond 3. Debenture 4. Right or warrant 5. Note 6. Put, call, straddles, privileges on securities or other option 7.Limited Partnership interest 8. Certificate of interest in a profit-sharing agreement 9.Treasury Stock 10. Evidence of indebtedness 11. Collatera...

Investment contract according to 1933 act correct answers - Investment of money - Common enterprise - Expectation of profit - Results solely from the effort of other Underwriter correct answers - Buys securities from an issuer with intention of selling it - Does not include brokerage firm earning commission on retail sale to public Tombstone advertisement correct answers - Only identifies security, price, and underwriters - Not considered a prospectus Prospectus correct answers ...

corp or trust of pooled funds to invest in large diversified portfolios correct answers investment company professional management diversification lower transaction cost correct answers benefit of investment company raise capital by selling share to public registration and prospectus requirement correct answers Securities ACT of 1933 SEC regulation of investment companies how shares sold to public correct answers Investment Company Act of 1940 investment company correct answers ...

SIE exam caril: complete study guide Q-bank answered latest spring 2023. What type of risk is unique to a specific industry, business enterprise, or investment type? - Under which of the following circumstances is an investor in a position to acquire stock? - Options- a premium - Options- strike price A customer believes that ABC's price will go up but does not have the money to buy 100 shares right now. How could the customer use options to profit from an increase in the sto...

SIE Chapter 2 Latest Update Graded A+ Which government agency oversees the regulation of broker-dealers and aims to protect investors while ensuring fair and efficient trading in the primary markets? The Securities and Exchange Commission (SEC) What types of transactions fall under the SEC's jurisdiction? Transactions involving securities that occur across state lines What are Self-Regulatory Organizations (SROs), and give an example? Organizations like FINRA that oversee day-to-da...

Dealer correct answers Transacts business for its own account Broker correct answers Transacts business for others CRD correct answers Provides registration info regarding Bkr/dlrs and registered persons Non-registered person correct answers Cannot solicit order for new accts, provide investment advice, make recommendations, give pricing info, or execute transactions ADV (Investment Adviser Registration) Part I correct answers Name, # of employees, background of partners, how the adv...