Security offerings - Samenvattingen, Aantekeningen en Examens

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...

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...

1 Which of the following best describes the VSP accreditation program? A Helps sellers develop basic solution expertise for VMware core products, as well as strategies for competitively positioning those solutions to end customers B Supports individuals in a technical selling role to develop basic solution expertise for VMware core products, as well as strategies for positioning those solutions to end customers C Is oriented to anyone involved in IT License Administration and/or Sales Operations...

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...

Which of the following costs are considered capital expenditures (CapEx)? (Choose all that apply.) - ANSWER--Physical servers -Networking hardware What types of services does Microsoft Azure offer? (Choose all that apply.) - ANSWER--Directory services -Backup -Streaming media services -Virtual machines Your company is running Microsoft Exchange Server 2007 and your employees use Microsoft Office 2007. You need to update your systems, but you want to minimize your CapEx impact. Whic...

WGU COURSE MANAGING CLOUD SECURITY C838 OA/ WGU COURSE C838 REAL EXAM DETAILED QUESTIONS AND CORRECT ANSWERS . Which expenditure has minimized an organization's requirements of purchasing systems and resources? A Revenue B Deferred revenue C Operational D Capital - Answer C Which countermeasure mitigates the risk of a rogue cloud administrator? A Multifactor authentication B Data encryption C Platform orchestration D Logging and monitoring - Answer D Which consideration should ...

1. Income Statement: Produced once a month to ensure expense review and control 2. Income Statement': Allows a company to determine how much money is coming in and how it's being spent 3. Promissory Note: Indicates a loan and debt financing to raise capital 4. Convertible Securities: Used to raise capital by way of equity financing 5. Convertible Securities': Stock or bond, that can be converted to another type of security 6. Convertible' Securities: Another type of bond or stock 7. Di...

SC-900 Fundamentals (Part 1) Questions and Answers Already Passed Describe the Zero-Trust methodology Zero Trust assumes everything is on an open and untrusted network, even resources behind the firewalls of the corporate network. What is the Zero Trust model principle? "Trust no one, verify everything" Regarding the Zero Trust Model, what are the principles which guide and underpin how security is implemented? Verify explicitly, least privileged access, and assume breach. Describe what "V...

Investment Bankers -Responsible for designing and packaging a security, offering and selling the securities to the public Concentration of capital -Allows large firms to take additional risks and satisfy the needs of an increasingly demanding capital market Brainpower Read More Previous Play Next Rewind 10 seconds Move forward 10 seconds Unmute 0:02 / 0:15 Full screen Gramm-Leach-Bliley Act -Repealed the depression-era laws -Continuing powers of the Federal Reserv...

On the 2-year anniversary of their registration and every 3 years thereafter. When must RRs complete the Regulatory Element of Continuing Education? True True or False: Firm Element Continuing Education requires BDs to update employees on job and product-related subjects. U4 To apply for a securities license, one must file Form _____ with FINRA. Action (buy/sell), Amount (quantity), and Asset (security) What three items must be specified on a not held order A not held order will be c...