Insider trading - Study guides, Class notes & Summaries

Series 79Statutory disqualification - correct answer convicted in the past 10 years of any crime involving funds or securities OR expulsion from an SRO, SEC, CFTC, or any other regulatory agency Waiting period after failing Series 79 - correct answer 30 days for the first and second attempt, 180 for each subsequent attempt Continuing education - correct answer starts on second anniversary and every three years after; if not completed in 120 days, person will become inactive; registered per...

Series 79an investment banker representative brings home a deal file and leaves it on her living room table. her husband reads the deal file and trades on the information. in this situation, who is liable? - correct answer the husband is liable for violating the duty of trust. he knew that it was insider info. an employee of a FINRA member firm is accused of insider trading. how can the firm avoid liability? - correct answer the firm can avoid liability if it can demonstrate that they had ade...

"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 ...

1. An ethical issue is a problem, situation, or opportunity a. that has no correct answer. b. that harms the environment. c. requiring society as a whole to choose among several actions that must be evaluated as right or wrong. d. requiring an individual, group, or organization to choose among several actions that must be evaluated as right or wrong, ethical or unethical. e. requiring an individual, group, or organization to choose between harming consumers or the environment and earning mo...

SIE Exam for Dummies Book Questions and Answers Already Passed Where must a corporate charter be filed, and what information does it include? A corporate charter must be filed in the state where the corporation is founded. It should detail the founders' names, the type of business, the business location, and the number of authorized shares that can be issued. What does the Securities Act of 1933 regulate? The Securities Act of 1933 oversees the issuance of new corporate securities, manda...

LEGL 2700 Test 3 Epstein UGA Questions and Answers | Latest Update | 2024/2025 | Graded A+ What is the business judgment rule? The business judgment rule protects corporate directors from liability for decisions made in good faith and with reasonable care, even if the decisions turn out poorly. What does piercing the corporate veil involve? Piercing the corporate veil involves holding shareholders personally liable for a corporation's debts or actions, typically when the corpo...

STC SIE Chapter 2 UPDATED Exam Questions and CORRECT Answers From what do Self Regulatory Organisations (SROs) derive their power? - Ans The Securities and Exchange Commission (SEC) Trading on material, non-public information is considered __________________. - Ans Insider trading Identify the acronym: RR - Ans Registered representative

Business 5101 Praxis Practice TEST 100% Pass Command Economy Govt. Controlling Prices & Production Security&Exchange Commission(SEC) responsibilities: Regulate securities, investigate insider trading, process applications for initial public offerings(IPO's) Customer's desire for product and ability to obtain product Product demand is directly influenced by: Sarbanes-Oxley Act of 2002 Fight corporate & accounting fraud Buyer's Market Product availability exceeds demand Maslow's hierarchy...

Wall Street Exam Question and answers verified to pass Insider trading occurs when - correct answer someone has information not available to the public which they use to profit from trading in stocks Mortimer and Randolph Duke, the two corrupt, septuagenarian brothers who run a - correct answer commodities brokerage house Which of the following a major factor influencing the growth and change of employee benefits? - correct answer the government Which of the following groups does ...

1. SHV Share price + Dividends 2. How do you in- crease Earnings Per Share (EPS)? Increase net income 3. Revenues -Sales -Goods or services sold 4. Gross profit -Gross income -Gross earnings -Gross margin 5. Operating in- come 6. Income before taxes (IBT) -Operating profit -Earnings before interest and tax (EBIT) -Income before interest and taxes (IBIT) -Earnings before taxes (EBT) -Profit before taxes (PBT) 7. Net income (NI) -Earnings after taxes (EAT) -Profit after t...