Prospectus 1933 Study guides, Class notes & Summaries

What type of risk is unique to a specific industry, business enterprise, or investment type? - ANSWER-Nonsystematic risk Under which of the following circumstances is an investor in a position to acquire stock? - ANSWER-Buy a call, sell a call (The holder of a call has the right to buy stock at the strike price if exercised. The seller of a put is obligated to buy stock at the strike price if exercised) Options- a premium - ANSWER-the cost of an option contract, expressed in dollars per sh...

Savings Strategy: How much of your gross income should you save? CORRECT ANSWER 5-8% Securities Act of 1933 CORRECT ANSWER Purchasers of new issues must be provided with a detailed prospectus before transaction. Securities Act of 1934 CORRECT ANSWER Regulates the secondary Market or trading of issued securities. This act created the SEC Investment Company Act of 1940 CORRECT ANSWER SEC can regulate UITs, Mutual funds, and variable life insurance/annuities. Securities investment Prote...

Securities Industry Essentials Comprehensive Cert. Exam (2024) || With 100% Accurate Solutions Securities Industry Essentials Comprehensive Cert. Exam (2024) || With 100% Accurate Solutions Which are the safest of all securities? - ANSWER - U.S. government securities such as Treasury notes (T-notes): they're backed by the fact that the government can always print more money to pay off the securities that it issues How do you determine current yield? - ANSWER - current yield = (annual int...

SIE Mastery Exam 3 Review Questions With Complete Solutions Which of the following securities is NOT exempt from the Securities Act of 1933? A. Municipal revenue bond issues B. Common carrier issues C. Income bond issues D. U.S. Government bond issues ️️C. Income bond issues Which of the following activities is allowed prior to the filing of the registration statement? A. Sending a customer a "red herring" preliminary prospectus B. Accepting an indication of interest from the c...

SIe practice exam question and answers rated A+ verified to passThe Securities & Exchange Commission (SEC) was created by Congress in A 1929 B 1933 C 1934 D 1940 - correct answer 1934 The Act of '34 created the SEC. The term 'disclaimer' is most often associated with A The fact that no agent can guarantee a customer against loss B The fact that unregistered securities are more risky than registered ones C The fact that the government cannot guarantee the accur...

ACC 480 Exam 4 practice Questions And Answers 100% Verified A merger between Blended Coffee Corporation and Cowland Creamery Inc. can be expressed as Blended Coffee + Cowland Creamery = - answerCowland Creamery. Ground-Up Construction Corporation (CCC) has a right of action against Heavyquip, Inc. Ground-Up Construction merges with Investors Development, Inc., with Investors absorbing Ground-Up. After the merger, Ground-Up's right of action against Heavyquip can be exercised by - answerI...

Series 79 - Key Concepts Regulation A/A+ - correct answer - Mini IPO - Form 1A - Offering Circular in place of a prospectus Tier 1 Reg A+ - correct answer Up to $20mm public capital raised per year Tier 2 Reg A+ - correct answer Up to $75mm public capital raised per year Section 4(a)(2) and 4(a)(5) of 1933 act - correct answer Private Placement: Allow an issuer to sell unregistered securities privately Reg D Safe Harbor - Rule 504 - correct answer Max Deal Size: $10mm - Unlimited...

Which of the following securities is NOT exempt from the Securities Act of 1933? A. Municipal revenue bond issues B. Common carrier issues C. Income bond issues D. U.S. Government bond issues Ans: C. Income bond issues Which of the following activities is allowed prior to the filing of the registration statement? A. Sending a customer a "red herring" preliminary prospectus B. Accepting an indication of interest from the customer after sending the red herring C. Accepting a deposit to ...

The rule addressing the required disclosures to investors in a corporate transaction is known as correct answers Regulation M-A. Regulation M-A requires investors to receive a summary terms sheet with a series of plain English disclosures regarding the proposed transaction. It applies to issuer tender offers and certain going-private transactions. Net new shares under treasury stock method correct answers = number of shares to which option holders are entitled * (mkt price - exercise price / ...

2024 SIE Exam - Complete Solutions (Answered) An investor purchased 100 units of the Connecticut Municipal Securities Trust. Which of the following statements concerning this investment in the UIT is accurate? A The shares must be liquidated in the open market and offer reinvestment provisions back into the trust B The shares are redeemable and offer reinvestment provisions back into the trust C The shares are redeemable but do not offer reinvestment provisions back into the trust D The shares...