Securities act of 1933 Study guides, Class notes & Summaries
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SIE Exam Latest Updated Graded A
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What type of risk is unique to a specific industry, business enterprise, or investment type? - ANSWER-Nonsystematic risk 
 
Under which of the following circumstances is an investor in a position to acquire stock? - ANSWER-Buy a call, sell a call (The holder of a call has the right to buy stock at the strike price if exercised. The seller of a put is obligated to buy stock at the strike price if exercised) 
 
Options- a premium - ANSWER-the cost of an option contract, expressed in dollars per sh...
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Unit 8.6 The Securities Exchange Act of 1934 (Series 65) || Questions and 100% Accurate Answers.
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Which of the following statements regarding discretionary accounts is TRUE? 
A) A branch manager must approve discretionary orders before entry. 
B) A principal must approve discretionary orders before entry. 
C) An order in which an investor designates the security's name, the number of shares, and whether to buy or sell and gives the agent discretion as to time and price only is not considered discretionary. 
D) The rules regarding churning of accounts do not apply to discretionary account...
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SIE Regulations Exam Study Questions and Answers with Complete Solutions 2024 Graded A
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Securities Act of 1933 - The first major federal law regulating the securities industry. 
 
Focuses on the PRIMARY MARKET 
 
It requires firms issuing new stock in a public offering to file a registration statement with the SEC. 
 
Securities Act of 1934 - A law governing the SECONDARY trading of securities in the US; established the SEC (Securities and Exchange Commission). 
 
Securities Act of 1933 applies to - non-exempt issues 
 
What is needed per the Securities Act of 1933 before sales ca...
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Test Bank for Entrepreneurial Finance, 7th Edition by Chris Leach
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Test Bank for Entrepreneurial Finance 7e 7th Edition by Chris Leach, Ronald W. Melicher 
ISBN-13: 2043 
 
Full Chapters test bank included 
 
PART 1: The Entrepreneurial Environment 
CHAPTER 1: Introduction to Finance for Entrepreneurs 
1.1 The Entrepreneurial Process 
1.2 Entrepreneurship Fundamentals 
1.3 Sources of Entrepreneurial Opportunities 
1.4 Principles of Entrepreneurial Finance 
1.5 Role of Entrepreneurial Finance 
1.6 The Successful Venture Life Cycle 
1.7 Financing Through the Vent...
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Poss. Test exam 2024 with 100% correct answers
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A 68 year-old client of yours indicates that he is interested in changing the portfolio mix of his IRA to become largely invested in noninvestment grade bonds. You would probably infer from this that the client: - correct answer A) has insufficient retirement savings. 
 
Most studies have indicated that seniors with insufficient retirement savings attempt to compensate by being tempted to reach for higher yields to maximize retirement income without full consideration of the increased risk th...
Too much month left at the end of the money?
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Regulations: Securities Act of 1933-Exam QA (solved)
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All of the following activities are prohibited during the "cooling off" period EXCEPT: 
a. accepting an indication of interest from the customer for part of the issue 
b. recommending the purchase of the issue to potential investors 
c. selling the issue to an investor 
d. advertising the issue to the public - ANSWER accepting an indication of interest from the customer for part of the issue 
 
A new issue offering to a maximum of 35 non-accredited investors that has no been registered with th...
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FINRA SIE Outline (Questions with 100% verified answers)
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The Securities Act of 1933 correct answers The Securities Act of 1933 focused on greater transparency for investors 
 
After the stock market crash of 1929, it was passed into law to protect investors. 
 
Greater financial transparency and accuracy and less fraud or manipulation. 
 
The legislation had two main goals: to ensure more transparency in financial statements so investors could make informed decisions about investments; and to establish laws against misrepresentation and fraudulent ac...
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FINRA Series 7 Unit 7 Practice Questions with Correct Answers
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Securities Act of 1933 Federal legislation requiring the full fair disclosure of all material information about the issuance of new securities. 
 
Securities Exchange Act of 1934 Federal legislation that established the Securities and Exchange Commission. The act aims to protect investors by regulating the exchanges, the over-the-counter market, the extension of credit by the Federal Reserve Board, broker/dealers, insider transactions, trading activities, client accounts, and net capital 
 
Secu...
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SERIES 9: MASTERY AND PRACTICE EXAM. || WITH 100% CORRECT ANSWERS.
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The Characteristics and Risk of Standardized Options is the official disclosure document that must be provided to option customers at or before account approval. This document is designed to 
1. protect investors from market risk. 
2. fulfill the prospectus delivery requirements of the Securities Act of 1933. 
3. disclose the risk of investing in options. 
4. provide useful option strategies. 
A) 
III and IV 
B) 
I, II, III, IV 
C) 
I and II 
D) 
II and III 
Explanation 
The options clearing cor...
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FINRA Series 24 || with Complete Solutions.
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Securities Act of 1933 correct answers Enacted to regulate how securities are registered, issued and distributed to the public. Primary market focused. AKA the Paper act. 
 
Securities Exchange Act of 1934 correct answers Regulated broker-dealers and how existing securities are traded in the secondary market. Created the SEC and SROs. AKA the People Act 
 
Securities Exchange Act of 1934 (5 things) correct answers 1. It contains important trading laws 
2. It gave the Federal Reserve Board the po...
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