Gov notes Study guides, Class notes & Summaries

ERISA - Answer- Employee Retirement Income Security Act 1974 SOC Reports - Answer- Service Organization Controls: for external vendors SOC 1 - Answer- Internal Controls & Financial reports; used by auditors SOC 2 - Answer- Security, availability, processing integrity, confidentiality and privacy controls;used by management, regulators, and others under an NDA SOC3 - Answer- Same as SOC2, but available for public use. Tribble V Edison - Answer- Landmark court case re fiduciary resp...

CBCS Exam 2023/2024 with Question and 100% Correct Answers. Medical Billing & Coding as a Career - Correct answer-*Claims assistant professional or claims manager, *Coding Specialist, * Collection Manager, *Electronic Claims Processor, *Insurance Billing Specialist, * Insurance Coordinator, *Insurance Counselor, *Medical Biller, *Medical & Financial Records Manager, * Billing & Coding Specialist What are Medical Ethics? - Correct answer-Standards of conduct based on moral principle. They a...

The redemption value of an open-end investment company's shares is based on the: previous offering price previous closing NAV NAV computed after the order is received offering price computed after the order is received - NAV computed after the order is received The computation of dollar prices and accrued interest on municipal bonds is normal on what calendar basis? 30/360 30/365 Actual/360 Actual/365 - 30/360 Blue-sky laws are regulated by which of the following entities? SEC M...

FINRA SIE Real Exam Questions with All Correct Answers Types of Issuers - CORRECT ANSWERS - FCBUS F oreign gov C orporations B anks U .S. Treasury and gov agencies S tate and local gov - raise capital by issuing securities EQUITY = used by corporations (represents ownership) DEBT = represent an issuer's promise to pay (notes and bonds) Broker-Dealer - CORRECT ANSWERS - Broker acts as a middle man between buyer and seller (no risk to the firm) - payed Commission - Dealer acts a...

FINRA SIE Real Exam Questions with All Correct Answers Types of Issuers - CORRECT ANSWERS - FCBUS F oreign gov C orporations B anks U .S. Treasury and gov agencies S tate and local gov - raise capital by issuing securities EQUITY = used by corporations (represents ownership) DEBT = represent an issuer's promise to pay (notes and bonds) Broker-Dealer - CORRECT ANSWERS - Broker acts as a middle man between buyer and seller (no risk to the firm) - payed Commission - Dealer acts as...

The redemption value of an open-end investment company's shares is based on the: previous offering price previous closing NAV NAV computed after the order is received offering price computed after the order is received NAV computed after the order is received The computation of dollar prices and accrued interest on municipal bonds is normal on what calendar basis? 30/360 30/365 Actual/360 Actual/365 30/360 Blue-sky laws are regulated by which of the following entities? ...

What is the purpose of HIPAA? - CORRECT ANSWER - • Protect PHI from unauthorized disclosure/use; • Prevent fraud, waste and abuse (via Administrative Simplification); • Make health insurance portable under ERISA; • Move health care onto a nationally standardized electronic billing platform Ref. HIPAA resides in which CFR section? - CORRECT ANSWER - 45 CFR sections 164.102 through 164.534 What are the subparts of HIPAA part 164? - CORRECT ANSWER - HIPAA - 45 CFR 164, sub...

Meeting expectations in the delivery of clinically effective, efficient and affordable health care services Sentinel Event - ANSWER -Unexpected occurrence involving serious injury or death -Different than medical error EX) patient committing suicide when admitted for diabetes Main cause of sentinel events - ANSWER COMMUNICATION Quality Assurance - ANSWER Provision of services that meet an appropriate standard; maintaining a high quality of care by constantly measuring effectiveness of o...

The redemption value of an open-end investment company's shares is based on the: previous offering price previous closing NAV NAV computed after the order is received offering price computed after the order is received NAV computed after the order is received The computation of dollar prices and accrued interest on municipal bonds is normal on what calendar basis? 30/360 30/365 Actual/360 Actual/365 30/360 Blue-sky laws are regulated by which of the following entities? ...

purpose of securities industry matching investors with money to issuers that need that money to finance issuer legal entity that sells securities in order to finance its operations (business, governments) ie. us treasury, us gov agencies, foreign governments, state and local governments, corps, banks methods issuers use to raise capital 1) issue debt securities (bonds) and 2) issues equity securities (stocks) debt securities publically traded loans = bonds, notes, or deb...