Blue sky laws - Study guides, Class notes & Summaries

The redemption value of an open-end investment company's shares is based on the: previous offering price previous closing NAV NAV computed after the order is received offering price computed after the order is received - correct answer NAV computed after the order is received The computation of dollar prices and accrued interest on municipal bonds is normal on what calendar basis? 30/360 30/365 Actual/360 Actual/365 - correct answer 30/360 Blue-sky laws are regulated by which of t...

PHIL 101 Final Exam Study Guide Latest Verified Review 2023 Practice Questions and Answers for Exam Preparation, 100% Correct with Explanations, Highly Recommended, Download to Score A+ Readings from the Third Part of the Course Hume - Make sure you can understand Hume’s distinction between relations of ideas vs. matters of fact. Can you give examples of each? - Relations of ideas: something that is true by its very nature, can be known without needing to check the world, cannot be fals...

AZ Real Estate Exam Questions With Verified And Updated Solutions. Accession - answerAcquiring property when trade fixtures are not removed on or before the last day the property is rented. They become real property of the landlord. Fixture - answerAn article/item that was once personal property but had been attached to land or a structure so it is now real property. Tests of a fixture - answer1. Agreement 2. Intention (most important) 3. Attachment 4. Adaptation 5. Relationship 6. Co...

BLAW 3310 Miller Final Exam Questions and Answers Corporate Finance -Answer-The finance function within a business. One of the three main areas of finance. Blue Sky Laws -Answer-State laws that regulate the offering and sale of securities for the protection of the public. stock -Answer-A share of ownership in a corporation. bonds -Answer-Certificates of debt that carry a promise to buy back the bonds at a higher price equity financing -Answer-money raised from within the firm, from opera...

A "compound gauge": Can only be used for low pressures - Has different unit scales According to EPA regulations, when system flushing is required following a compressor burnout, the following refrigerant must be used: System flushing with refrigerants is illegal A CFC contains: Chlorine, fluorine, carbon A CFC - 11 cylinder is: Orange An HFC-134a cylinder is: Sky blue or pale blue A chlorine atom will combine with an ozone molecule to form: Chlorine Mon...

FINRA Practice SIE Exam Questions & Answers 2023/2024 The redemption value of an open-end investment company's shares is based on the: previous offering price previous closing NAV NAV computed after the order is received offering price computed after the order is received - ANSWER-NAV computed after the order is received The computation of dollar prices and accrued interest on municipal bonds is normal on what calendar basis? 30/360 30/365 Actual/360 Actual/365 - ANSWER-30/360 ...

The redemption value of an open-ended investment company's shares is based on the: - ANSWER-Net assest value computed afdter the order is recieved An associated person who is not a registered representative is permitted to engage in which of the following activities? - ANSWER-Provide account opening forms to a new customer A decline in the gross domestic product (GDP) must last for at least how many quarters to be considered a recession? - ANSWER-2 quarters When is interest on Treasury...

What is the maximum amount of SIPC coverage available to each separate customer? - $500,000 including up to $250,000 in cash If a customer purchases securities and does not settle the account 4 business days, what should the brokerage firm do first? - Ask for an extension of time from the SRO or cancel the trade and sell off the purchased securities When must a customer who purchases securities in a cash or margin account pay for the securities? - 4 business days What is the maximum insur...

The _______________________________ is the US federal government agency responsible for enforcing securities laws. - 1) Investment Company Act of 1940 2)JOBS Act of 2012 3) Securities and Exchange Commission 4) Blue sky laws A: SEC These are the state laws designed to protect individuals from investing in fraudulent securities offerings: - 1) Exemption 2) Blue Sky laws 3) JOBS Act of 2012 4) Intrastate offering A: Blue Sky Laws ___________________________is technically an exempti...

Statutory Disqualification correct answers Applies if you have been convicted of securities fraud- 10 yr. statuate of limitations from time of offense; pardoning just wipes financial penalty(not the offense/disqualification implications) Highest Expense Ratio Product correct answers Highest: VA's... ETF's, UIT's, Index Funds all have low expenses due to not being actively managed. Complaints correct answers must be held in compliance for 4 yr minimum Qualified VA's correct answers A...