Private placements - Study guides, Class notes & Summaries

Role of Banks - correct answer 1. Act as financial intermediary between savers and borrowers. 2. Facilitates the creation of money. 3. Creates financial products and services. 4. Develops mechanisms for transferring money and making payments. 5. Contributes to the development of the economy. Debt Capital Markets - correct answer When a large company or government wants to finance a project, it may look to issue bonds to raise capital. An Investment bank would help out in plann...

SIE Exam Questions & Answers 2023/2024 Rule 144 - ANSWER-how restricted/control stock can be sold to the public Rule 144A - ANSWER-allows QIBS to trade unregistered shares through PORTAL intrastate offerings are... - ANSWER-exempt transactions (rule 147) Rule 147 - ANSWER-intrastate offerings 1st market - ANSWER-auction markets, trade listed securities on exchanges including NASDAQ NASDAQ is - ANSWER-part of 1st market, negotiated 2nd market - ANSWER-negotiated, trades OTC, ...

Series 79 - Key Concepts Regulation A/A+ - correct answer - Mini IPO - Form 1A - Offering Circular in place of a prospectus Tier 1 Reg A+ - correct answer Up to $20mm public capital raised per year Tier 2 Reg A+ - correct answer Up to $75mm public capital raised per year Section 4(a)(2) and 4(a)(5) of 1933 act - correct answer Private Placement: Allow an issuer to sell unregistered securities privately Reg D Safe Harbor - Rule 504 - correct answer Max Deal Size: $10mm - Unlimited...

Exceptional Children correct answers The term exceptional children includes children who experience difficulties in learning as well as those whose performance is so superior that modifications in curriculum and instruction are necessary to help them fulfill their potential. Thus, exceptional children is an inclusive term that refers to children with learning and/or behavior problems, children with physical disabilities or sensory impairments, and children who are intellectually gifted or have a...

Professional Liability Answer> - they have a higher-than-average defendant verdict - include a consent-to-settle clause, where the insurer has to obtain consent from the professional to settle the claim The subjective standard for determining whether injury or property damage involves expected results can be described as Answer> What the insured expected and intended from the act. The objective standard Answer> is based on what a reasonable person would expect from a particula...

Test Bank For Foundations of Finance, 10TH Edition By Keown/Martin/Petty. Within the financial markets, explain what we mean by "private placements" and name the advantages and disadvantages. Answer: Private placements are an alternative to the sale of securities to the public or to a restricted group of investors through a privileged subscription. Any type of security can be privately placed (directly placed). The major investors in private placements are large financial institutions. Bas...

Conduct and Practices Handbook (CPH) Exam 136 Questions with Answers Duty of care - CORRECT ANSWER This refers to obligation #3 of registered representative (RR) about acting honestly, in good faith, and in a professional manner. This is a requirement to provide advice to clients with those attributes in mind along with the proper skills and knowledge to do so. It is important to note that the standard of care provided is not a standard of perfection. RRs are usually held to this standard muc...

Which of the following structures transforms asset ownership into potentially distinct and diverse tradable investment opportunities? trading structure Which of the following structures refers to the financial markets related to a particular instrument, such as whether the investment is publicly traded on an exchange? Which of the following investments most likely has a long lock-up period with a fund life of ten years or longer? hedge funds managed futures private equity stru...

PORTAL Market correct answers facilitates compliance with Rule 144A and private placements Simplified Arbitration correct answers heard by ONE pulbic arbitrator. just another way to say arbitration between rep and customer Sales Literature for Bonds correct answers must be filed 10 days BEFORE use Collateral in Margin Account correct answers Basically any security that has been held for more than 30 day. INCLUDES NEW ISSUES Mark to Market correct answers adjustment made in the amou...

CQIB FINAL EXAM 2024 Role of Banks -Answer-1. Act as financial intermediary between savers and borrowers. 2. Facilitates the creation of money. 3. Creates financial products and services. 4. Develops mechanisms for transferring money and making payments. 5. Contributes to the development of the economy. Debt Capital Markets -Answer-When a large company or government wants to finance a project, it may look to issue bonds to raise capital. An Investment bank would help out in planning/docu...