Assessed Value
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The value of a property as appraised by a taxing authority for the purpose
of levying taxes. Assessed value may equal market value or a stipulated
percentage of market value. Related item(s): ad valorem tax.
,Issuance and trading are regulated at what level?
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State and Federal
American Depository Receipts (ADRs)
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A negotiable U.S. security certificate representing a given number of shares
of stock in a foreign corporation. it is bought and sold in the American
securities market.
Notice filing
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The method of registering securities at the state level that is reserved only
for federal covered securities.
What must a registered rep do when opening a new account for a 68 year old
person?
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, Make reasonable effort to obtain name and number of a trusted contact
person.
Customers ledgers/statements must be kept on file for this amount of time.
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Six (6) years
What must be included in a mutual fund's semi-annual report given to shareholders?
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1. Balance sheet showing: assets, liabilities, and net assets.
2. Income statement detailing profit and loss for the period.
Assignment
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A document accompanying or part of a stock certificate that is signed by
the person named on the certificate for the purpose of transferring the
certificate's title to another person's name.
Which markets have transparent pricing for assets aligning with supply and demand?
Give this one a try later!
The value of a property as appraised by a taxing authority for the purpose
of levying taxes. Assessed value may equal market value or a stipulated
percentage of market value. Related item(s): ad valorem tax.
,Issuance and trading are regulated at what level?
Give this one a try later!
State and Federal
American Depository Receipts (ADRs)
Give this one a try later!
A negotiable U.S. security certificate representing a given number of shares
of stock in a foreign corporation. it is bought and sold in the American
securities market.
Notice filing
Give this one a try later!
The method of registering securities at the state level that is reserved only
for federal covered securities.
What must a registered rep do when opening a new account for a 68 year old
person?
Give this one a try later!
, Make reasonable effort to obtain name and number of a trusted contact
person.
Customers ledgers/statements must be kept on file for this amount of time.
Give this one a try later!
Six (6) years
What must be included in a mutual fund's semi-annual report given to shareholders?
Give this one a try later!
1. Balance sheet showing: assets, liabilities, and net assets.
2. Income statement detailing profit and loss for the period.
Assignment
Give this one a try later!
A document accompanying or part of a stock certificate that is signed by
the person named on the certificate for the purpose of transferring the
certificate's title to another person's name.
Which markets have transparent pricing for assets aligning with supply and demand?
