Exception reports are filed when...
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There is suspicious activity in a customer account or when there is improper
use of a customers' securities or funds
,What is the prospectus delivery requirement for listed, nonlisted and non-NASDAQ
securities?
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For nonlisted and non-Nasdaq securities, the delivery requirement is 40
days, 25 days for NASDAQ or exchange listed, and 90 days for issues
quoted OCTBB or the electronic OTC Pink sheets.
Which of the following records must be maintained for 6 years?
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Customer ledgers (statements)
What is financial risk?
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relates to those companies that use debt financing (leverage), Debt
financing or utilizing debt leverage too much can lead to the inability to
meet principal and interest payments on a company's debt obligations.
For Treasury receipts, how is interest paid and how are they sold?
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, They are sold at a discount and pay interest at maturity
Spin-off
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When one company sells all of the shares of another it own
All corporations will issue what type of stock?
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All corporations will issue common stock, but not all corporations will issue
preferred stock.
Examples of exempt securities include...
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U.S. government securities, municipal bonds, commercial paper and
banker's acceptances that have maturities of less than 270 days, insurance
policies and fixed annuity contracts (but not variable annuities), charitable,
religious, educational, and nonprofit association issues and more
What does "investment strategy" include under the Know your customer (KYC) rule
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Applies to recommendations to invest in, hold, or sell specific securities as
well as suggestions pertaining to market sectors, day trading, or divesting
of an asset or other investments to make funds available to purchase
securities. The definition does NOT include non-security investments such
as commodities or fixed annuities.
An investor lending money to an entity receives back the principal amount of the loan
on the
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maturity date
Liquid vs illiquid investments
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Investments in stocks and bonds are considered liquid (i.e.-common stock),
while investments in assets (works of art, real estate, automobiles) are
considered illiquid
When is the Securities and Exchange Disclaimer mandated to be shown?
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There is suspicious activity in a customer account or when there is improper
use of a customers' securities or funds
,What is the prospectus delivery requirement for listed, nonlisted and non-NASDAQ
securities?
Give this one a try later!
For nonlisted and non-Nasdaq securities, the delivery requirement is 40
days, 25 days for NASDAQ or exchange listed, and 90 days for issues
quoted OCTBB or the electronic OTC Pink sheets.
Which of the following records must be maintained for 6 years?
Give this one a try later!
Customer ledgers (statements)
What is financial risk?
Give this one a try later!
relates to those companies that use debt financing (leverage), Debt
financing or utilizing debt leverage too much can lead to the inability to
meet principal and interest payments on a company's debt obligations.
For Treasury receipts, how is interest paid and how are they sold?
Give this one a try later!
, They are sold at a discount and pay interest at maturity
Spin-off
Give this one a try later!
When one company sells all of the shares of another it own
All corporations will issue what type of stock?
Give this one a try later!
All corporations will issue common stock, but not all corporations will issue
preferred stock.
Examples of exempt securities include...
Give this one a try later!
U.S. government securities, municipal bonds, commercial paper and
banker's acceptances that have maturities of less than 270 days, insurance
policies and fixed annuity contracts (but not variable annuities), charitable,
religious, educational, and nonprofit association issues and more
What does "investment strategy" include under the Know your customer (KYC) rule
, Give this one a try later!
Applies to recommendations to invest in, hold, or sell specific securities as
well as suggestions pertaining to market sectors, day trading, or divesting
of an asset or other investments to make funds available to purchase
securities. The definition does NOT include non-security investments such
as commodities or fixed annuities.
An investor lending money to an entity receives back the principal amount of the loan
on the
Give this one a try later!
maturity date
Liquid vs illiquid investments
Give this one a try later!
Investments in stocks and bonds are considered liquid (i.e.-common stock),
while investments in assets (works of art, real estate, automobiles) are
considered illiquid
When is the Securities and Exchange Disclaimer mandated to be shown?
Give this one a try later!
