Series 79 with answers graded A+ 2024 already passed
Series 79Form 3 + Filing Deadline - correct answer Individual becomes corporate insider (O, D, S/H > 10%). File within 10 days Form 4 + Filing Deadline - correct answer Corp. insider changes holdings. File within 2 biz days Form 5 + Filing Deadline - correct answer Corp insider reports transactions in sec's not in public market 45 calendar days of fiscal year end. 13D + filing deadline - correct answer Statement of beneficial ownership of greater than 5% - active investors. 10 calendar days of transaction or promptly of any material change (>1%) 13G + filing deadline - correct answer Passive statement of ownership of greater than 5% - passive investors. If >10%, must be filed by end of month. If >20%, must file 13D. 13E-3 + filing deadline - correct answer Going private Concurrently with a tender offer, registration statement, or other privatization document 13F + filing deadline - correct answer Quarterly filing by institutional investment managers ($100mm+ in assets) 45 calendar days of quarter end Form 144 + Deadline - correct answer Corporate insider preparing to sell shares - up to first day of 90-day period when shares are sold 10Q (Large Accelerated, Accelerated, Non-Accelerated, Smaller Reporting) - correct answer 40, 40, 45, 45 calendar days
Written for
- Institution
- Series 79
- Course
- Series 79
Document information
- Uploaded on
- February 8, 2024
- Number of pages
- 5
- Written in
- 2023/2024
- Type
- Exam (elaborations)
- Contains
- Questions & answers
Subjects
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