Securities industry - Study guides, Class notes & Summaries

Chapter 03 Financial Services: Finance Companies     
True / False Questions
  1. Finance companies differ from banks in that they do not accept deposits. 
TRUE   2. Finance companies have been among the slowest growing FI groups in recent years. 
FALSE   3. General Electric Capital Corporation (GECC) provides services to more than 15 million businesses and consumer is Asia alone. 
TRUE   4. In 2008, GE Capital Corporation accounted for approximately 50 percent...

Securities Industry Essentials Exam For Dummies CHAPTER 5 - Securities Underwriting (The Process and Team Players) || With Complete Solutions (100% Correct) Securities Industry Essentials Exam For Dummies CHAPTER 5 - Securities Underwriting (The Process and Team Players) || With Complete Solutions (100% Correct) BBB Corporation is listed on an exchange and has 4.2 million shares outstanding. What is the maximum number of shares an insider can sell under Rule 144 on April 4 of the following...

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Securities Industry Essentials Exam Questions And Answers Securities and Exchange Commission - ANS (SEC) created under the Securities Exchange Act of 1934, this is the security industry's primary regulatory body. Brokers/Dealers must apply and be approved for registration with the SEC. The SEC also regulates all exchanges and trading markets. What is a broker/dealer subject to if they do not comply with SEC rules? - ANS censure, limits on activities, functions, or operations, suspensio...

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Which of the following considerations should a registered representative explain to a customer when recommending a 529 savings plan? Answers: A) The potential deductibility of contributions from state taxes B) The potential deductibility of contributions from federal taxes C) The income eligibility restrictions to contribute to the account D) The rights of the account beneficiary to the assets at the age of majority - Answer Correct Answer: A) The potential deductibility of contributio...