Blue sky laws - Study guides, Class notes & Summaries
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Series 65 Unit 1 Regulation of Investment Advisors || with 100% Verified Solutions.
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federal level regulation of investment advisors correct answers Investment Advisers Act of 1940 
 
state level regulation of investment advisors correct answers Uniform Securities Act 
 
Uniform Securities Act of 1956 (USA) correct answers there were numerous state security laws (blue sky laws) and there was a need for uniformity in securities laws among states 
 
the term state means... correct answers any of the 50 states, ay territory or possession of the US, DC, Puerto Rico 
 
NASAA correct ...
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Series 63 || with 100% Correct Answers.
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Uniform Securities Act correct answers model legislation from 1956 
 
administrator correct answers office or agency that has the complete responsibility for administering the securities laws of that state; has jurisdiction over all security activities in the state 
 
cease and desist correct answers used by administrator whenever it appears any registered person has engaged or is about to violate provisions of the USA. may be issued without prior hearing ; only applies to registered persons not...
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FINRA Practice SIE Exam questions and answers graded A+.
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The redemption value of an open-end investment company's shares is based on the: 
previous offering price 
previous closing NAV 
NAV computed after the order is received 
offering price computed after the order is received - correct answer-NAV computed after the order is received 
 
The computation of dollar prices and accrued interest on municipal bonds is normal on what calendar basis? 
30/360 
30/365 
Actual/360 
Actual/365 - correct answer-30/360 
 
Blue-sky laws are regulated by which of t...
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UH Manoa BLAW 200 Final Exam Questions And Answers Rated A+ New Update Assured Satisfaction
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"Blue sky" laws were established to protect small investors. - TRUE 
"D&O insurance" is a Direct Offering from the insurer to a second insurer. - FALSE 
"Ethics" now covers sourcing of products even several steps removed from the company's own 
production. - TRUE 
"Independent" labs such as UL, which are funded by industry, are suspect because of their funding. - 
FALSE 
"This is one of the finest vintages in the last 20 years!" - This statement creates an express 
warranty if it is s...
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Series 63 - Regulation of Persons || with Accurate Answers 100%.
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Administrator correct answers The office or agency that has complete responsibility for adminstering the securities laws of the state. 
-Has jurisdiction over virtually all securities activity that emanates from his state, and what is received in his state. 
-Can make rules and issues orders 
-Can deny, suspend, revoke registrations 
 
Cease and Desist Order correct answers used by the Administrator whenever it appears taht any registered person has engaged or is about to engage in any act or ...
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FINRA Practice SIE Exam with complete solution graded A+
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The redemption value of an open-end investment company's shares is based on the: 
previous offering price 
previous closing NAV 
NAV computed after the order is received 
offering price computed after the order is received - NAV computed after the order is received 
The computation of dollar prices and accrued interest on municipal bonds is normal on what calendar 
basis? 
30/360 
30/365 
Actual/360 
Actual/365 - 30/360 
Blue-sky laws are regulated by which of the following entities? 
SEC 
MSRB...
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FINRA Practice SIE Exam QUESTIONS And Answers WITH VERIFIED SOLUTIONS GRADED A+ 2023|2024 UPDATE
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FINRA Practice SIE Exam QUESTIONS And 
Answers WITH VERIFIED SOLUTIONS 
GRADED A+ 
The redemption value of an open-end investment company's shares is based on the: 
previous offering price 
previous closing NAV 
NAV computed after the order is received 
offering price computed after the order is received - Answer NAV computed after 
the order is received 
The computation of dollar prices and accrued interest on municipal bonds is 
normal on what calendar basis? 
30/360 
30/365 
Actual/360 
Actu...
-
FINRA Practice SIE Exam
- Exam (elaborations) • 12 pages • 2023
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- $12.49
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The redemption value of an open-end investment company's shares is based on the: 
previous offering price 
previous closing NAV 
NAV computed after the order is received 
offering price computed after the order is received - Answer- NAV computed after the order is received 
 
The computation of dollar prices and accrued interest on municipal bonds is normal on what calendar basis? 
30/360 
30/365 
Actual/360 
Actual/365 - Answer- 30/360 
 
Blue-sky laws are regulated by which of the following e...
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BLAW 3310 Miller Final 78 Exam Questions with 100% Correct Answers | Updated & Verified
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Corporate Finance - ️️The finance function within a business. One of the three main areas of finance. 
 
Blue Sky Laws - ️️State laws that regulate the offering and sale of securities for the protection of the public. 
 
stock - ️️A share of ownership in a corporation. 
 
bonds - ️️Certificates of debt that carry a promise to buy back the bonds at a higher price 
 
equity financing - ️️money raised from within the firm, from operations or through the sale of ownership in the ...
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BLAW 3310 Miller Final Exam Questions and Answers
- Exam (elaborations) • 11 pages • 2024
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BLAW 3310 Miller Final Exam Questions and Answers 
Corporate Finance -Answer-The finance function within a business. One of the three 
main areas of finance. 
Blue Sky Laws -Answer-State laws that regulate the offering and sale of securities for 
the protection of the public. 
stock -Answer-A share of ownership in a corporation. 
bonds -Answer-Certificates of debt that carry a promise to buy back the bonds at a 
higher price 
equity financing -Answer-money raised from within the firm, from opera...
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