Knopman marks - Study guides, Class notes & Summaries

Knopman Marks SIE Exam Questions and Answers 100% Pass What is the standard settlement period for equity transactions? T + 2, which means the transaction settles two business days after the trade date. What is the term for the first day a stock is traded without its dividend entitlement? ExDividend date. What is the final day a buyer can purchase stock to qualify for the upcoming dividend? The business day immediately preceding the exdividend date. How does the exdividend date ...

Knopman Marks SIE Exam Questions with Correct Answers.

Knopman Marks SIE Practice Exam Questions with Correct Answers

Knopman Marks - Practice Exam Questions with Correct Answers

Series 79 Knopman Marks deferred tax asset or liability? Acceleration of revenue for accounting purposes - correct answer Deferred tax liability Source or use of cash? Decrease in accrued liabilities - correct answer Use of Cash Source or use of cash? Improvement in net working capital - correct answer Use of cash Purpose of a Schedule 13F - correct answer A 13F is a quarterly filing by Institutional Investment managers to disclose long equity positions Disclosure document used to g...

Knopman Marks Series 79 Class SummaryHow Many Days Before the Definitive Proxy is Filed With the SEC Must the Preliminary Proxy Be Filed with the SEC? - correct answer 10 calendar days PRE14A - correct answer preliminary proxy DEF14A - correct answer definitive proxy When Must the Definitive Proxy Be Filed With the SEC and Sent to Shareholders? - correct answer at least 1 calendar days prior to the shareholder meeting For How Long Must a Tender Offer be Available to Shareholders? - c...

Series 79 Knopman Marksfalling interest rates - correct answer an investor who expects interest rates to fall would want a long duration zero coupon bond bond pricing - correct answer if an issuer is disappointed with the amount raised in a debt offering it could increase the interest rate i.e. +200bps to +250 bps bond spreads - correct answer High-yield bonds have wider spreads than investment grade or Treasury bonds yield-to-worst - correct answer bond trade confirmation must include ...

FINRA and SEC Registration correct answers A broker-dealer must register with FINRA and the SEC to lawfully conduct securities businesses. Not an endorsement, and to suggest registration is an edorsement is considered fraudulent and deceptive Trust Indenture Act correct answers Cannot mandate that a trustee repay all creditors in full in an event of default because this is not feasible Cross-default Clause correct answers triggers a debt default if the issuer defaults on any of its other d...

Regular Way Settlement for Equities correct answer: T + 2 The First Day that a Buyer Buys Stock Without a Dividend correct answer: Ex-Dividend date The Last Day a Buyer Can Buy Stock and Receive the Dividend correct answer: business day before the ex-date When Ex-Dividend Date Happens Relative to the Record Date for Regular Way Trades correct answer: 1 business day before Fixed Rate Equity Security that Responds to Market Conditions like a Bond correct answer: Preferred Stock ...

Do the following Investment Companies/Products offer continuous share offering or fixed share counts? Mutual Funds Closed-End Funds UIT ETF correct answer: Mutual Funds: Continuous Closed-End Funds: Fixed UIT: Fixed ETF: Fixed What Term signifies that a share of common stock can be freely transferred, assigned, or delivered to another entity? a) Fungible b)Negotiable c)Portable d)Endorsable correct answer: b - A negotiable security is one that can be freely transferred, assigne...