Insider trading - Study guides, Class notes & Summaries
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Series 79 correctly answered(2024)
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Series 79Statutory disqualification - correct answer convicted in the past 10 years of any crime involving funds or securities OR expulsion from an SRO, SEC, CFTC, or any other regulatory agency 
 
Waiting period after failing Series 79 - correct answer 30 days for the first and second attempt, 180 for each subsequent attempt 
 
Continuing education - correct answer starts on second anniversary and every three years after; if not completed in 120 days, person will become inactive; registered per...
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SIE Exam for Dummies Book Questions and Answers Already Passed
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SIE Exam for Dummies Book Questions 
and Answers Already Passed 
Where must a corporate charter be filed, and what information does it include? A corporate 
charter must be filed in the state where the corporation is founded. It should detail the founders' 
names, the type of business, the business location, and the number of authorized shares that can 
be issued. 
What does the Securities Act of 1933 regulate? The Securities Act of 1933 oversees the 
issuance of new corporate securities, manda...
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LES 305 ASU Koretz final exam Rated 100% Correct!!
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"Fair-Disclosure Rule" (Regulation FD) - Federal securities regulation that requires publicly traded 
companies to distribute information to the market as a whole and not to selected investment firms, 
analysts, or investors; a means of distributing to the market in a fair and open fashion the financial 
reports and pending and evolving issues of publicly traded company. 
10-K Form - Annual report filed with the SEC; required of all 1934 Act firms. 
10-Q Form - Quarterly report filed with the ...
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Test Bank For Business Ethics Ethical Decision Making & Cases 10th Edition by O. C. Ferrell
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1. An ethical issue is a problem, situation, or opportunity 
a. that has no correct answer. 
b. that harms the environment. 
c. requiring society as a whole to choose among several actions that must be evaluated as right or wrong. 
d. requiring an individual, group, or organization to choose among several actions that must be evaluated as right or wrong, ethical or unethical. 
e. requiring an individual, group, or organization to choose between harming consumers or the environment and earning mo...
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Series 79 questions & answers graded A+ 2024
- Exam (elaborations) • 13 pages • 2024
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Series 79an investment banker representative brings home a deal file and leaves it on her living room table. her husband reads the deal file and trades on the information. in this situation, who is liable? - correct answer the husband is liable for violating the duty of trust. he knew that it was insider info. 
 
an employee of a FINRA member firm is accused of insider trading. how can the firm avoid liability? - correct answer the firm can avoid liability if it can demonstrate that they had ade...
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STC SIE Chapter 2 UPDATED Exam Questions and CORRECT Answers
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STC SIE Chapter 2 UPDATED Exam 
Questions and CORRECT Answers 
From what do Self Regulatory Organisations (SROs) derive their power? - Ans The 
Securities and Exchange Commission (SEC) 
Trading on material, non-public information is considered __________________. - Ans 
Insider trading 
Identify the acronym: RR - Ans Registered representative
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LEGL 2700 Test 3 Epstein UGA Questions and Answers | Latest Update | 2024/2025 | Graded A+
- Exam (elaborations) • 40 pages • 2024
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LEGL 2700 Test 3 Epstein UGA 
 
Questions and Answers | Latest Update | 
 
2024/2025 | Graded A+ 
 
What is the business judgment rule? 
 The business judgment rule protects corporate directors from liability for decisions made in 
good faith and with reasonable care, even if the decisions turn out poorly. 
 
What does piercing the corporate veil involve? 
 Piercing the corporate veil involves holding shareholders personally liable for a 
corporation's debts or actions, typically when the corpo...
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Business 5101 Praxis Practice TEST 100% Pass
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Business 5101 Praxis Practice TEST 100% Pass Command Economy Govt. Controlling Prices & Production 
Security&Exchange Commission(SEC) responsibilities: Regulate securities, investigate insider trading, process applications for initial public offerings(IPO's) 
Customer's desire for product and ability to obtain product Product demand is directly influenced by: 
Sarbanes-Oxley Act of 2002 Fight corporate & accounting fraud 
Buyer's Market Product availability exceeds demand 
Maslow's hierarchy...
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Wall Street Exam Question and answers verified to pass
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Wall Street Exam Question and answers verified to pass Insider trading occurs when - correct answer someone has information not available to the public which they use to profit from trading in stocks 
 
Mortimer and Randolph Duke, the two corrupt, septuagenarian brothers who run a - correct answer commodities brokerage house 
 
Which of the following a major factor influencing the growth and change of employee benefits? - correct answer the government 
 
Which of the following groups does ...
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CMT Level 2 - Sample Exam - 180 QUESTIONS – WITH COMPLETE SOLUTIONS
- Exam (elaborations) • 63 pages • 2023
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The MTA Code of Ethics applies to: 
a. Members only 
b. Affiliates only 
c. CMT candidates 
d. All of the above correct answer: The MTA Code of Ethics applies to: 
d. All of the above 
 
An MTA Member or Affiliate using the MTA mailing list to send _____________ would not be in 
violation of the Code of Ethics: 
a. Research reports 
b. A free membership to a club 
c. Charting discount coupons 
d. CMT Newsletter correct answer: An MTA Member or Affiliate using the MTA mailing list to send _____...
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