Securities act of 1933 - Study guides, Class notes & Summaries

Securities Industry Essentials PASSED Actual Exam Questions and CORRECT Answers Securities Act of 1933 - CORRECT ANSWER-Governs the new issuance (primary) market, which involves the money-raising activities of issuers. Requires issuers to register their securities when selling to the public. Securities Exchange Act of 1934 - CORRECT ANSWER-Governs trading markets for existing securities and registration requirements of BDs, BD employees, and exchanges

Section 1: Knowledge of Capital Markets - ANSWER The SEC purpose/mission when created jurisdiction authority - ANSWERprotect investos, maintin fair orderly & efficient markets, facilitate capital formation by congress in 1934 US federal government enforce federal security laws & create laws that regulate securities industry enforces Securities act 1933/1934, trust indenture act 1939, investment company act 1940, investment advisors act 1940 SROs (Self-Regulatory Organizati...

series 24 Question and answers rated A+ 2024/2025 Series 24 Security An investment that indicates ownership of a corporation (stock), a creditor of a corporation or a governmental body (bond), or rights to ownership (options, warrants), Securities Act of 1933 Governs the Primary Market, first piece of federal legislation covering the securities industry to set guidelines concerning full and fair disclosure in the primary market with the goal of ensuring that investors are provided wit...

Employee Benefit and Retirement Accounts - Answer-Which of the following types of accounts make up the majority of non-managed asset products? Investment Management & Advisory Accounts - Answer-Which of the following types of accounts make up the majority of managed asset products? Legislation - Answer-_______________is a law which has been enacted by a legislature and signed into law by the governor or president. Regulation - Answer-___________ is a rule created by an administrative agenc...

Definition of Security correct answers 1. Investment of money 2.In a common enterprise 3. With an expectation of profit 4.Results solely from the efforts of others What are considered securities? correct answers 1. Stock 2. Bond 3. Debenture 4. Right or warrant 5. Note 6. Put, call, straddles, privileges on securities or other option 7.Limited Partnership interest 8. Certificate of interest in a profit-sharing agreement 9.Treasury Stock 10. Evidence of indebtedness 11. Collatera...

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...

"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 ...

IACCP (MASTER TERMS) LATEST UPDATED 2024/2025 Assignment - Correct Answer Any direct or indirect transfer or hypothecation of an investment advisory contract by the assignor Who is not an Investment Advisor? - Correct Answer A Bank, Lawyer, accountant, engineer, teach whose performance of such services is solely incidental to the practice of his profession, Broker-dealer (commission only)published of any bona fide newspaper, magazine, business publication, rating systems (Moodys, etc.) Wh...

LEGAL ENVIRONMENT OF BUSINESS EXAM REPORTED QUESTIONS AND ANSWERS Penalties for Violations of the Securities Act of 1933 may include each of the following except - Answer-Revocation of the corporate charter for egregious cases. Section 16 of the 1934 Act defines an insider as an officer, director, or shareholder who owns _________ or more of the company's total stock. - Answer-10% Security transactions involving the original issuance and reissuance of securities by a business to raise...

The Securities & Exchange Commission (SEC) was created by Congress in A 1929 B 1933 C 1934 D 1940 - ANSWER1934 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 accuracy of the information in a prospectus D None of the above - A...