Maloney act of 1938 - Study guides, Class notes & Summaries

SIE Exam Preview/Recap. 100% Coverage. Comprehensive, Guaranteed understanding. purpose of securities industry - matching investors with money to issuers that need that money to finance issuer - legal entity that sells securities in order to finance its operations (business, governments) ie. us treasury, us gov agencies, foreign governments, state and local governments, corps, banks methods issuers use to raise capital - 1) issue debt securities (bonds) and 2) issues equity securities (...

[WILEY FINRA SERIES] SECURITIES INSTITUTE OF AMERICA - Wiley Series 63 Exam Review 2016 + TEST BANK The Uniform Securities Contents ABOUT THE SERIES 63 EXAM ix ABOUT THIS BOOK xiii ABOUT THE TEST BANK xv ABOUT THE SECURITIES INSTITUTE OF AMERICA xvii CHAPTER 1 FEDERAL LAW REVIEW 1 The Securities Act of 1933 1 The Prospectus 2 The Final Prospectus 2 Misrepresentations 3 The Securities Exchange Act of 1934 3 Net Capital Requirement 7 Customer Coverage 7 Fidelity Bond 8 The Insider ...

Exam (elaborations) [WILEY FINRA SERIES] SECURITIES INSTITUTE OF AMERICA - Wiley Series 63 Exam Review 2016 + TEST BANK The Uniform Securities WILEY SERIES 63 EXAM REVIEW 2016 The Uniform Securities State Law Examination The Securities Institute of America, Inc. Cover Design: Wiley Cover Image: © iS / LuisB Copyright © 2016 by The Securities Institute of America, Inc. All rights reserved. Published by John Wiley & Sons, Inc., Hoboken, New Jersey. Previous editions published by The Secu...