Syndicator - Study guides, Class notes & Summaries

Direct Participation Program (DPP) correct answers Type of investment whereby the results of a business (cash flow, profit, losses) flow through directly to the investors DPP is typically structured as a correct answers Limited Partnership (others can be general partnerships, joint ventures, and Subchapter S Corps). - Limited Partners (LPs) and General Partners (GPs) Limited Partners correct answers - Passive investors having no say in managerial decisions - Usually, contribute large am...

If a brokerage firm creates an in-house, non-cash incentive program, it is permitted to be based on: A. The total amount of sales executed by the RR B. The specific type of product being sold by the RR C. The most suitable products being sold by the RR D. Only the equity securities being sold by the RR - ANSWERA. The total amount of sales executed by the RR The person who distributes interest in a DPP is referred to as the: A. Distributor B. Syndicator C. Managing partner D. Lim...

STC SIE Exam Final Practice Questions (Answered). 100% Verified, predictor! Which of the following statements is TRUE concerning periodic payment variable annuities? A. A client's number of annuity units never changes B. A client's number of accumulation units never changes C. Annuity contracts never have a beneficiary D. The monthly payout is fixed by the inflation index - A. A client's number of annuity units never changes Which of the following securities would be subject to ...

Series 65 Exam Prep, Over 1000 Questions And Answers, Verified Solution Name the equity securities Preferred and Common stock What is a security? Instrument that is readily exchanged for value between parties and involves risk Why are Whole and Term life insurance sand IRAs/retirement plans NOT securities? Not readily exchanged Why are confirmations and prospectus not securities? Do not have value How does one become owner of a company? buy shares in that company What distinguishes ...