Insider affiliate - Study guides, Class notes & Summaries
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FINRA Series 79 Exam Study Guide with Verified Solutions
- Exam (elaborations) • 55 pages • 2024
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FINRA Series 79 Exam Study Guide with 
Verified Solutions 
Debt to capitalization ratio use _____________ - Answer️️ -book value, including of 
equity 
Green shoe clause - Answer️️ -agreement allowing the underwriters to sell additional 
shares if demand is high for an offering of securities; 
can be in part or in full 
at any price 
can allow underwriter to profit 
-doesn't need to be approved by underwriter once its disclosed in the prospectus 
A company that is not a commercial bank ...
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Series 7 Exam Questions fully solved & updated
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A registered principal or registered representative must retake the qualifying exam if his or her registration has been revoked or terminated for a period of ____________ or more. 
A.) 1 year 
B.) 5 years 
C.) 3 years 
D.) 2 years - ANSWER-D.) 2 Years 
 
A member may maintain a representative registration for which of the following persons?I. A person who performs legal, compliance, or internal audit functions for the memberII. A person who performs back-office functions for the memberIII. A per...
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Series 7 Exam Questions fully solved & updated
- Exam (elaborations) • 21 pages • 2024
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A registered principal or registered representative must retake the qualifying exam if his or her registration has been revoked or terminated for a period of ____________ or more. 
A.) 1 year 
B.) 5 years 
C.) 3 years 
D.) 2 years - ANSWER-D.) 2 Years 
 
A member may maintain a representative registration for which of the following persons?I. A person who performs legal, compliance, or internal audit functions for the memberII. A person who performs back-office functions for the memberIII. A per...
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SIE Exam Preview/Recap. 100% Coverage. Comprehensive, Guaranteed understanding.
- Exam (elaborations) • 168 pages • 2023
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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 (...
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FINRA SIE Ch. 7 Practice Questions fully solved & updated.
- Exam (elaborations) • 6 pages • 2024
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A registered principal or registered representative must retake the qualifying exam if his or her registration has been revoked or terminated for a period of ____________ or more. 
A.) 1 year 
B.) 5 years 
C.) 3 years 
D.) 2 years - ANSWER-D.) 2 Years 
 
A member may maintain a representative registration for which of the following persons?I. A person who performs legal, compliance, or internal audit functions for the memberII. A person who performs back-office functions for the memberIII. A per...
Too much month left at the end of the money?
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University of South Carolina: ACCT 324 Connect Questions (Prof Hughes) Chapters 1-3 & 13-20,100% CORRECT
- Exam (elaborations) • 357 pages • 2022
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University of South Carolina: ACCT 324 Connect Questions (Prof Hughes) Chapters 1-3 & 13-20 
CHAPTER 1 
1: Connect Questions 
Business law consists of	that govern commercial relationships. 
 dominant systems and practices conventional channels 
 enforceable rules of conduct 
 traditional regulatory bodies 
Business law consists of the enforceable rules of conduct that govern commercial relationships. In other words, buyers and sellers interact in market exchanges within the rule...
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University of South Carolina: ACCT 324 Connect Questions (Prof Hughes) Chapters 1-3 & 13-20,100% CORRECT
- Exam (elaborations) • 357 pages • 2022
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University of South Carolina: ACCT 324 Connect Questions (Prof Hughes) Chapters 1-3 & 13-20 
CHAPTER 1 
1: Connect Questions 
Business law consists of	that govern commercial relationships. 
 dominant systems and practices conventional channels 
 enforceable rules of conduct 
 traditional regulatory bodies 
Business law consists of the enforceable rules of conduct that govern commercial relationships. In other words, buyers and sellers interact in market exchanges within the rule...
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IACCP Master QBank with complete solutions
- Exam (elaborations) • 40 pages • 2023
- Available in package deal
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The SMC Capital, Inc. No-Action Letter (September 5, 1995) states that trade allocations may occur: 
A. Only on a rotational basis 
B. On a pro rata basis but other allocation methods can be used without violating the Advisers Act 
C. Only on a pro rata basis 
D. Based on the trader's good faith discretion - Answer- B. On a pro rata basis but other allocation methods can be used without violating the Advisers Act 
 
Which of the following should NOT be a factor when evaluating best executio...
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