Finra series 79 exam Study guides, Class notes & Summaries

FINRA Series 79 Exam 240 Questions with Verified Answers

Debt to capitalization ratio use _____________ correct answers book value, including of equity Green shoe clause correct answers agreement allowing the underwriters to sell additional shares if demand is high for an offering of securities; can be in part or in full at any price can allow underwriter to profit -doesn't need to be approved by underwriter once its disclosed in the prospectus A company that is not a commercial bank issues a 10-year bond. It is exempt from SEC registrati...

FINRA Series 79 Exam Review 162 Questions with Verified Answers

FINRA Series 79 Exam Question and answers 2023 verified to pass

Associated Person correct answers Any natural person who is registered or has applied for registration; partners, officers, directors, etc., of a member; FINRA By-laws Article III, Section 3 correct answers Addresses ineligibility of certain persons for membership or association; Board of FINRA can basically do what it wants FINRA By-laws Article V, Section 4 correct answers Retention of Jurisdiction FINRA may retain jurisdiction to file a complaint against a registered person even after ...

Series 79 - Practice Exam Qscompanies with public float above 100M and 1M of average daily trading volume have this restriction with share buybacks - correct answer permitted to execute one block trade a week without any volume restriction Which of the following is typically addressed in the indemnification provision of a definitive agreement for a private company seller? - correct answer seller provides to buyer on environmental liabilities 424B document - correct answer final prospectus ...

Series 79 Practice Exam 1The role of the specialists (Designated Market Maker) is most closely associated with - correct answer NYSE The NYSE relies on specialists (also referred to as designated market makers) to match buyers and sellers. market makers facilitate trades on the Nasdaq and OTCBB What is a selected dealer agreement and what are the roles of the participants - correct answer A selected dealer agreement specifies the terms between the managing underwriter and selling group mem...

Regulation FD - ANSWER-Unintentional disclosure of inside information must be reported within 24 hrs and intentional disclosures must be made public simultaneously Form U4 - ANSWER-Registers a representative with FINRA Statutory Disqualification - ANSWER-Individual cannot be employed by a FINRA member firm unless they receive a waiver from FINRA Amended U4 Timeline - ANSWER-30 days; disciplinary re-filing requires 10 days Form U5 - ANSWER-Filed with termination of registration within...

Exam (elaborations) WILEY FINRA SERIES VAN BLARCOM, JEFF -Wiley Serie What Is a Security? 1 Equity = Stock 2 Common Stock 2 Corporate Time Line 2 Values of Common Stock 4 Book Value 4 Par Value 5 Rights of Common Stockholders 5 Preemptive Rights 5 Characteristics of a Rights Offering 6 Determining the Value of a Right Cum Rights 7 Determining the Value of a Right Ex Rights 7 Voting 8 vi Contents Limited Liability 9 Freely Transferable 9 The Transfer Agent 10 The Registrar 10 ...

[WILEY FINRA SERIES]VAN BLARCOM, JEFF -Wiley Series 65 Exam Review 2016 + TEST BANK The Uniform Investment Advisor Law Exam Contents ABOUT THE SERIES 65 EXAM xxi ABOUT THIS BOOK xxv ABOUT THE TEST BANK xxvii ABOUT THE SECURITIES INSTITUTE OF AMERICA xxix CHAPTER 1 EQUITY SECURITIES 1 What Is a Security? 1 Equity = Stock 2 Common Stock 2 Corporate Time Line 2 Values of Common Stock 4 Book Value 4 Par Value 5 Rights of Common Stockholders 5 Preemptive Rights 5 Characteristics of a...