In 1940 - Study guides, Class notes & Summaries

If an agent of a broker-dealer registers in State F in early November, when will their registration expire and need to be renewed? correct answers December 31st of that same year. State registration for all securities professionals expires on December 31st following the date of registration. Who is responsible for administering the Investment Advisers Act of 1940? correct answers The SEC is responsible for administering the IAA of 1940. Since the IAA of 1940 is federal law, it doesn't come u...

What characterized medicine before the late 19th century? Correct Answer-the four humors//paliative or aggressive What were some common medical interventions? Correct Answer-Palliative and aggressive interventions - non-curative but relieves symptoms, often did more harm than good; make you bleed, urinate, deficate Who defined the "four humors" theory and when was it defined? Correct Answer-Galen in 150 A.D What are the four humors? Correct Answer-black bile, yellow bile, phlegm, and ...

Under the Uniform Securities Act, which individual is considered to be an agent? A secretary who accepts customers' securities orders A principal of a broker-dealer A person who solely performs clerical functions A silent partner of a broker-dealer correct answers A secretary who accepts customers' securities orders Registration by coordination is used in conjunction with which of the following Acts? The Securities Act of 1933 The Securities Exchange Act of 1934 The Investment Co...

corp or trust of pooled funds to invest in large diversified portfolios correct answers investment company professional management diversification lower transaction cost correct answers benefit of investment company raise capital by selling share to public registration and prospectus requirement correct answers Securities ACT of 1933 SEC regulation of investment companies how shares sold to public correct answers Investment Company Act of 1940 investment company correct answers ...

CA State Lead Supervisor Exam The Consumer Product Safety Commission restricts the amount of lead in coatings to what? - ANSWER 90ppm .009% As of 2012 The Consumer Product Safety Commussion restricts the amount of lead in coatings on what surfaces? - ANSWER Residential Structures Publicly accessed commercial buildings Recreational areas Toys Play-ground equipm...

Which U.S. regulatory body is responsible for overseeing the derivatives market? - correct answer-The U.S. Commodity Futures Trading Commission (CFTC) Of the following U.S. federal statutes, which one provides registration and regulation of persons and entities who are engaged in providing advice to others? A.The Securities Act of 1933 B. The Securities Exchange Act of 1934 C. The Investment Advisers Act of 1940 D. The Investment Company Act of 1940 - correct answer-C. The Investment Advi...

Trait Theories correct answer From s - First style of theories Consisted of Theories such as "The Great Man Theory," which believed leaders were born with traits such as charisma, not made. Leaders different from followers due to innate key traits that DO NOT change over time - Age - Height - Sex - Family - Intelligence issues with trait theory correct answer - Many traits have been identified, non seem to be necessary - Does not factor in the situation or environment Behavi...

The provision that certain mutual fund policies cannot be changed without shareholder approval is addressed in the A) Investment Company Act of 1940. B) Securities Exchange Act of 1934. C) Investment Advisers Act of 1940. D) Securities Act of 1933. ~~> A) Investment Company Act of 1940. The regulation of mutual funds is covered in the Investment Company Act of 1940. A major responsibility of FINRA is A) developing rules and regulations for its members. B) establishing rules for...

The Consumer Product Safety Commission restricts the amount of lead in coatings to what? : 90ppm .009% As of 2012 The Consumer Product Safety Commussion restricts the amount of lead in coatings on what surfaces? : Residential Structures Publicly accessed commercial buildings Recreational areas Toys Play-ground equipment Which homes have a 86% chance of containing lead based paint according to EPA? : Homes built before 1940 2 | P a g e Which homes have an 66% chance of containing...

The Consumer Product Safety Commission restricts the amount of lead in coatings to what? - Answer 90ppm .009% As of 2012 The Consumer Product Safety Commussion restricts the amount of lead in coatings on what surfaces? -Answer Residential Structures Publicly accessed commercial buildings Recreational areas Toys Play-ground equipment Which homes have a 86% chance of containing lead based paint according to EPA? -Answer Homes built before 1940 Which homes have an 66% chance of containi...