Securities act of 1933 Study guides, Class notes & Summaries

SIE Regulations Latest Update Graded A What is the main purpose of the Securities Act of 1933? The Securities Act of 1933 aims to oversee the initial sale of securities, requiring companies to submit a registration statement to the SEC before issuing new stocks. Which act created the SEC and regulates the trading of securities in the secondary market? The Securities Exchange Act of 1934 established the SEC and governs secondary market trading. Which types of securities fall under th...

Statement of Cash Flows - Answer- Shows the change in cash balance for a period of time. Focuses only on items where cash is received, or cash is paid. Cash Flow from Operating Activities (CFO) - Answer- Cash flow that a company generates as a result of day-to-day business operations. Deals with Current Assets and Current Liabilities. Cash Flow from Investing Activities (CFI) - Answer- Cash flow that is generated from investments in long term assets. Cash Flow from Financing Activities ...

WGU C213 Final Exam: ACCOUNTING FOR DECISION MAKERS Questions And Answers (2022/2023) Verified Order of assets listed on the balance sheet - correct answer===Assets are listed in the order of liquidity. Liquidity is the amount of time it would usually take to covert an asset into cash. Obviously, cash would be listed first, followed by marketable investments (a company can quickly convert a short-term investment into cash). Accounts receivable would be listed next followed by inventory, and...

Securities Act of 1933 refresh correct answers -regulates new issue market -all securities must be registered for lawful sale unless the securities are exempt or the transaction is exempt -must be submitted to the SEC, but doesn't mean the SEC approves - just reviews for disclosure Subchapter C Corporation correct answers -unlimited number of shareholders -exchange listed, if public -do not pass through taxes -shareholders can be anyone -capital gains taxed at favorable long term rate ...

WGU C213 Final Exam (verified answers 2022)Order of assets listed on the balance sheet Assets are listed in the order of liquidity. Liquidity is the amount of time it would usually take to covert an asset into cash. Obviously, cash would be listed first, followed by marketable investments (a company can quickly convert a short-term investment into cash). Accounts receivable would be listed next followed by inventory, and long-term investments, fixed assets, and intangibles. Current assets ...

SIE Exam for Dummies Book Questions and Answers Already Passed Where must a corporate charter be filed, and what information does it include? A corporate charter must be filed in the state where the corporation is founded. It should detail the founders' names, the type of business, the business location, and the number of authorized shares that can be issued. What does the Securities Act of 1933 regulate? The Securities Act of 1933 oversees the issuance of new corporate securities, manda...

What does the Securities Act of 1933 regulate? correct answers regulates sales of new issues unless they are exempt or the transaction itself is exempt # of shareholders for C Corp Where can it be listed? Tax? correct answers Unlimited # of shareholders, can be listed on public exchanges, no pass through of gains/losses # of shareholders for S Corp Where can it be listed? Tax? correct answers Up to 100 shares, cannot be listed on exchange and can only be owned by domestic indiv...

LEB 320F Final Exam with All Correct Answers Why do we need securities regulation? - Answer-To protect investors To regulate Protect persons investing Sought to strengthen financial market Securities Act of 1933 - Answer-1st federal securities law Regulate insurance of securities by companies Fraudulent behavior was outlawed Registration required before new security Goal: protect investing public Seeks to regulate the issuer, underwriters & dealers so investors have adequate inf...

Under the Uniform Securities Act, which individual is considered to be an agent? A secretary who accepts customers' securities orders A principal of a broker-dealer A person who solely performs clerical functions A silent partner of a broker-dealer correct answers A secretary who accepts customers' securities orders Registration by coordination is used in conjunction with which of the following Acts? The Securities Act of 1933 The Securities Exchange Act of 1934 The Investment Co...

Name Clas Dat : s: e: CHAPTER 01—THE BUSINESS OF BANKING 1. A bank is a not-for-profit organization. a. b. True False False 1 BNKG.CFFT.3.LO: 1.1.1 - LO: 1.1.1 ANSWER: POINTS: LEARNING OBJECTIVES: 2. All federally chartered banks must be corporations. a. True ANSWER: POINTS: LEARNING OBJECTIVES: b. False True 1 BNKG.CFFT.3.LO: 1.1.1 - LO: 1.1.1 3. Commercial banks offer their services only to businesses. ANSWER: POINTS: LEARNING OBJECTIVES: 5. Issuing credit cards is ...