Series 79 questions - Study guides, Class notes & Summaries

AQA A-level GEOGRAPHY 7037/1 Paper 1 Physical Geography Version: 1.0 Final A-level GEOGRAPHY Paper 1 Physical Geography Insert This insert contains:  Figure 1 for use with Question 1  Figure 2 for use with Question 1  Figures 4a, 4b and 4c for use with Question 2  Figures 6a, 6b and 6c for use with Question 3  Figures 8a and 8b for use with Question 4  Figure 9 for use with Question 5  Figure 10 for use with Question 5  Figure 11 for use with Question 6 ...

Version 1 1 Version 1 2 Personality Psychology Domains Of Knowledge About Human Nature, 3rd Canadian Edition, 3e By Randy Larsen, David Buss, David King (Test Bank All Chapters, 100% Original Verified, A+ Grade)Answers at the end of each Chapter. Chapter 1 Student name: MULTIPLE CHOICE - Choose the one alternative that best completes the statement or answers the question. 1) Features of personality that differentiate one person from another usually take the form of in language. A...

Series 79 Questions with correct answers

Series 79 QuestionsFor an EGC, when can research be published? - correct answer Immediately after the effective date Can XYZ company preview an equity research report written by an investment bank about itself? - correct answer Equity research may be reviewed by the subject company solely for verification of facts. The draft submitted to the company must omit the research summary, rating, or price target. Legal / compliance must review the full report before it is submitted to the target comp...

Series 79 Questions And Answers Latest Update

Series 79Don’t have to register securities if - correct answer 1. securities are exempt 2. Transaction is exempt C Corp - correct answer Big corp Can file to be public Does not pass through gains & losses to shareholders (pays corporate income tax) Anyone can invest Taxed at favorable rates if held for more than 1 year S Corp - correct answer Small corp Max 100 shareholders Ineligible to list on exchange PAss through gains & losses to shareholders (does not pay cor...

Series 79 10-Ks - correct answer Non-accelerated filers: 90 days Accelerated filers: 75 days Large accelerated filers: 60 days 10-Qs - correct answer Non-accelerated filers: 45 days Accelerated filers: 40 days Large accelerated filers: 40 days 8-K - correct answer Must be filed WITHIN 4 BUSINESS DAYS after triggering event Schedule 13-D (D comes before G) - correct answer A person, or a group of persons acting together, who directly or indirectly acquires beneficial ownersh...

Series 79equity value - correct answer Shares outstanding * Share price enterprise value - correct answer equity value +debt-cash margin - correct answer compares a company's earnings to its revenue or sales Gross Profit Margin - correct answer Gross profit/sales revenue x 100 Operating Margin - correct answer Operating Income (EBIT) / Sales Net Income Margin - correct answer Net Income/Sales Operating Income - correct answer gross profit - operating expenses earning per sh...

Series 79 Private placements can be sold to (Reg. D): - correct answer Unlimited number of accredited investors, and up to 35 non-accredited investors Accredited investors - correct answer Officers/directors of an Issuer Financial institutions (regardless of their assets) Trusts & Business Partnerships with $5mm+ in assets Individuals with $200k+ in income or $1mm+ of net worth What is the threshold for defining a large accelerated filer? - correct answer $700mm worldwide non-affiliate...

Series 79 SEC Rule 14d-10 - correct answer provides for equal treatment of shareholders in a tender offer, and is also called the best price rule. A bidder is required to treat shareholders equally by making the offer open to all of them for the same period, and at the same price. An exception or safe harbor is granted for changes in comp arrangements for executives of the company provided that the arrangements are made by a majority of independent board members. The board will perform this fun...

In order to qualify as a WKSI, an issuer must have a non-affiliate market capitalization of at least: correct answers $700 million worldwide An investment analyst is evaluating a company that formerly was public, before being taken private in a merger. This company has not filed any 10-Ks or 10-Qs since it went private. To learn details of the consideration paid to acquire this company, an analyst should consult which document? correct answers The merger proxy Can a company's board of dir...

Series 79Subchapter C Corp - correct answer Which does not pass through gains and losses To qualify as a REIT - correct answer a corporation must be organized under state laws in the US and have at least 100 shareholders by the second taxable year. It also must meet a 50/50 test for shareholder ownership, with five or fewer shareholders not owning more than 50% of its stock during the last half of the taxable year. A REIT will only pay taxes on earnings that we not paid out as dividend to...