Finra series 7 - Study guides, Class notes & Summaries
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FINRA Series 79 Exam 240 Questions with Verified Answers,100% CORRECT
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FINRA Series 79 Exam 240 Questions with Verified Answers
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FINRA Series 7 Exam Practice Questions with 100% Correct Answers
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FINRA: Correspondence Correspondence, which is defined as any written or electronic communication that is distributed or made available to 25 or fewer retail investors within any 30 calendar-day period. 
 
Can you purchase securities prior to registration? Settlement? Cannot purchase securities prior to registration (against Securities Act of 1933), but can purchase prior to settlement (when-issued) 
 
FINRA: Institutional communication Any written or electronic communication that is distributed...
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FINRA Series 79 Exam Review 162 Questions with Verified Answers,100% CORRECT
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FINRA Series 79 Exam Review 162 Questions with Verified Answers
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FINRA SERIES 7 EXAM FULL
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STRIPS may be attractive to investors for which of the following reasons? 
 
A. They offer semi-annual interest payments 
B. The securities are tax-free until they mature 
C. They carry almost no reinvestment risk 
D. They are offered at only a 20 year maturity which is a maturity that is not offered by traditional Treasury securities - Answer- C. They carry almost no reinvestment risk 
 
The Alternative Minimum Tax (AMT): 
 
A. Adds back in certain "tax preference items" that are deducted for...
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FINRA Series 7 Comprehensive Exam Questions with Correct Answers
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As a Treasury security, TIPS are characterized by which of the following statements? Interest payments are the product of a fixed interest rate times the adjusted principal 
 
A member may pay continuing commissions to a representative after he or she ends his or her employment with a member under what conditions? The member signs a bona fide contract calling for such payment 
 
with a married put, an investor __________________; with a married call, an investor ___________________. buys a stock...
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FINRA Series 7 Regulations Review Questions with Correct Answers
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Securities and Exchange Commission (SEC) >responsible for supervision of the capital markets 
>writes laws that govern the financial markets 
> Can enforce those laws, even if the broker/dealer or associated person is registered with a self-regulatory authority (SRO). 
>Governs publicly traded companies as well as industry professionals 
>The Commission can revoke the registration of a broker/dealer, but it has few punitive powers 
>SEC refers criminal cases to the judicial sys...
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FINRA SERIES 7 EXAM FULL QUESTIONS & ANSWERS 2023/2024
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FINRA SERIES 7 EXAM FULL QUESTIONS & ANSWERS 2023/2024 
 
STRIPS may be attractive to investors for which of the following reasons? 
 
A. They offer semi-annual interest payments 
B. The securities are tax-free until they mature 
C. They carry almost no reinvestment risk 
D. They are offered at only a 20 year maturity which is a maturity that is not offered by traditional Treasury securities - ANSWER-C. They carry almost no reinvestment risk 
 
The Alternative Minimum Tax (AMT): 
 
A. Adds back ...
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FINRA Series 7: Chapter 1 || with 100% Accurate Solutions.
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Security correct answers an investment that represents either an ownership stake or a debt stake in a company. An investor becomes part owner in a company by buying shares of the company's stock. 
 
Debt security correct answers usually acquired by buying a company's bonds 
 
Debt investment correct answers a loan to a company in exchange for interest income and the promise to repay the loan at a future maturity date (it does not confer ownership) 
 
Balance Sheet Summarizes the Concept: corre...
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FINRA SECURITIES INDUSTRY REGULATIONS SERIES 7 EXAM 2023/2024 QUESTIONS AND ANSWERS GRADED A+
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FINRA SECURITIES INDUSTRY REGULATIONS SERIES 7 EXAM 2023/2024 QUESTIONS AND ANSWERS GRADED A+
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FINRA SIE TAX- SERIES 7 EXAM QUESTIONS AND ANSWERS GRADED A+
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FINRA SIE TAX- SERIES 7 EXAM QUESTIONS AND ANSWERS GRADED A+
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