Sec rule change Study guides, Class notes & Summaries

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...

What is the *3 Pronged Approach*? correct answers Test used by SEC to determine if an entity meets the definition of an investment adviser. 1. Does the Person provide investment advice relating to securities and based on the client's situation? 2. Does the person receive compensation as a result of providing investment advice? 3. Is the person in the business of providing investment advice? What is a *Form 8-K*? correct answers SEC report required by the Securities Exchange Act of 1934...

A firm must give a customer----days to implement any opt-out provision in the privacy notice correct answers 30 Settlement Date correct answers the buyer delivers the cash and the seller delivers the securities. Commissions must be disclosed on what statement? correct answers On the confirmation in the case of an agency transaction Representatives participating in chat rooms should treat such communication as correct answers Public forum or speaking engagement If customer fails to pr...

Form 144 must be filed with the SEC concurrently with the sale or earlier. within 10 days of the sale 5 days before the sale correct answers concurrently with the sale or earlier. Form 144, which alerts the SEC to the impending sale of unregistered or control stock, must be filed concurrently with or before the sale. The form must also be filed as amended if there is an inaccuracy or to indicate a change in broker. For an additional issue offering where the subject security is quo...

CMN 140 Exam1, CMN 140 Exam 2, CMN 140 Final 194 Questions with Verified Answers "Hardware" vs "Software" of the brain - CORRECT ANSWER *Hardware:* -Biological organ of communication -Computation is processed in gray matter -> e.g. how info is processed in the brain -Info is transmitted via white matter *Software:* -The brain gives rise to the mind -Some programs are innate (e.g. capacity for language) -Some are learned (e.g. English language) *There is a deep physical conn...

Florida 2-15 Insurance Final Exam Test Bank (All Chapters complete 1-30, Questions and Answers, 100% Verified) Latest 2023/2024 1. A life insurance company is organized in Orlando where it maintains its home office. In Florida, the company is classified as a a. domestic company b. local company c. foreign company d. preferred company a 2. With regard to life insurance, all of the following statements are correct EXCEPT a. all individuals are considered to have insurable interests i...

1. Prepare 2. Analyze 3. Gather 4. Make decisions 5. Implement 6. Observe. - Accounting steps. Inside, Internal - Managerial info is inside or outside the business? True. Financial accounting is only outside. Managerial accounting can be inside AND outside. - True or false, managerial accounting uses BOTH managerial and financial accounting? Outside, External, includes lenders and investors - Financial is inside or outside the business? Balance sheet, income statement, and statement ...

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...

ATI Adv. Med-surg FINAL EXAM 1. A nurse in a burn treatment center is caring for a client who is admitted with severe burns to both lower extremities and is pending an escharotomy. The client’s spouse asks the nurse what the procedure entails. Which of the following nursing statements is appropriate? a. “large incisions will be made in the eschar to improve circulation” b. “ I can call the doctor back here if you want me to” c. “a piece of skin will be removed and grafted ov...

When a patient performs exercise on a treadmill, what will be the normal change an arterial flow in the legs? - Increased antegrade flow in diastole A patient presents for an exercise arterial exam after an abnormal resting exam. The report from the resting exam describes elevated velocity is that indicate a stenosis of greater than 50% in the distal femoral artery on the left leg, that biphasic waveforms in the PTA and DPA and an ABI of 0.96. There is no change in the waveforms or decrease...