Prospectus 1933 - Study guides, Class notes & Summaries

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...

Securities Industry Essentials Certification Exam (2024) || With Questions & 100% Accurate Answers Securities Industry Essentials Certification Exam (2024) || With Questions & 100% Accurate Answers All broker/dealers registered with the SEC must be SPIC members except: - ANSWER - - banks that deal exclusively in municipal securities - firms that deal exclusively in U.S. government securities - firms that deal exclusively in redeemable investment company securities What is the definition...

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...

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...

Biz Org-Final UPDATED Exam Questions and CORRECT Answers Florida Business Corporations Act - Correct Answer- Governing Law of Corporations The Florida Securities and Investor Protection Act - Correct Answer- Also known as Florida Blue Sky Law, Governing law of Corporations Securities Act of 1933 - Correct Answer- Law governing when a Corp initially sells stock Form S-1 to register with the SEC, takes a while to get approved. Sells Prospectus Some exemptions to filing the S-1: "private...

Large accelerated filers correct answers subject to same size requirement as well seasoned issuers - $700 M of worldwide non affiliate market cap (voting and non-voting stock) Schedule 14A correct answers called the "proxy statement". It is required under the '34 Act prior to a regular or special shareholder meeting. The information in the proxy must be filed on 14A before soliciting a shareholder vote. Regulation A+ correct answers Regulation A+ exempts the registration of small securi...

MODULE C MC EXAMINATION QUESTIONS WITH ALL CORRECT ANSWERS When accountants agree to perform a compilation or review of unaudited financial statements, the best way to avoid client's misunderstanding the nature of the work is to describe it completely in the auditor's opinion an engagement letter a report to the client's board of directors at the close of the engagement A management letter to the board of directors' audit committee - Answer-an engagement letter Ent...

Business Law for Accountants - D216 Western Governors University WGU Final guide with complete soluti Scienter Answer - A person has knowledge of wrongdoing and intent of wrongdoing Sox act of 2002 Answer - created the public company accounting oversight board, It states high level managers (CFO, CEO, Senior roles) must maintain an effective system of internal controls. Internal controls get checked by senior management annually Outside Directors Answer - oversee the accounting process...

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 ...

Series 79Don’t have to register securities if - correct answer 1. securities are exempt 2. Transaction is exempt C Corp - correct answer Big corp Can file to be public Does not pass through gains & losses to shareholders (pays corporate income tax) Anyone can invest Taxed at favorable rates if held for more than 1 year S Corp - correct answer Small corp Max 100 shareholders Ineligible to list on exchange PAss through gains & losses to shareholders (does not pay cor...