Insider trading Samenvattingen, Aantekeningen en Examens
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Canadian Securities (CSC) Test 2 | 237 Questions With Complete Correct Answers.
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Fundamental analysis - looks at everything to best determine if the security's price will change. It 
is a method of analyzing the ST, MT, and LT prospects of different industries to shed light on security 
prices. 
Technical analysis - focuses on the stock market. It uses charts and patterns of the past to predict 
future performance. 
Program trading - a computer assisted trading strategy of buying or selling a large number of 
securities simultaneously. It can have an unintended effect on ma...
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CFA Level 1 - 101 Must Knows 368 Questions with Verified Answers,100% CORRECT
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CFA Level 1 - 101 Must Knows 368 Questions with Verified Answers 
 
Addition Rule of Probability - CORRECT ANSWER ADDITION: P(A or B) = P(A) + P(B) - P(AB) 
 
Roy's Safety First Criterion - CORRECT ANSWER Safety First Ratio = (E(R) - Rₜ) / σ 
 
Larger ratio is better 
 
If (Rₜ) is risk free rate, then it becomes Sharpe Ratio 
 
Sharpe Ratio - CORRECT ANSWER Sharpe Ratio = (E(R) - RFR) / σ 
 
Larger ratio is better 
 
If (Rt) is higher than RFR, then it becomes Safety First Ratio 
 
Centra...
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Test Bank For Business Ethics Ethical Decision Making & Cases 10th Edition by O. C. Ferrell
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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...
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Series 79 questions and answers rated A+ 2024
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Series 79Rule 144 - correct answer Provides a safe harbor for permitting the sale of restricted and affiliate securities, without requiring registration 
 
Market Out Clause - correct answer Within an underwriting agreement, describes the circumstances under which an underwriter can cancel a purchase agreement without penalty 
 
Where are syndicate expenses deducted from? - correct answer The underwriting fee 
 
How long before do you need to register for an IPO to be unrestricted? - correct ans...
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Series 79 correctly answered(2024)
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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...
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Series 79 questions & answers graded A+ 2024
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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...
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SIE Exam questions correctly answered to pass 2023
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SIE Exam questions correctly answered to pass 2023 
1933 Securities Act (Paper Act) - correct answer sets forth accounting and disclosure requirements for initial offerings of securities (stocks and bonds) 
 
1934 Securities and Exchange Commission (SEC) - correct answer Supervised the country's Stock Commission Exchanges and eliminated dishonest practices 
 
Maloney Act of 1938 - correct answer Allowed self-regulation of securities industry through trade associations such as the National Assoc...
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Business Law for Accountants - D216 Western Governors University WGU Final guide with complete solution
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Business Law for Accountants - D216 Western Governors University WGU Final guide with complete soluti 
Scienter Answer - A person has knowledge of wrongdoing and intent of wrongdoing 
 
Sox act of 2002 Answer - created the public company accounting oversight board, It states high level managers (CFO, CEO, Senior roles) must maintain an effective system of internal controls. Internal controls get checked by senior management annually 
 
Outside Directors Answer - oversee the accounting process...
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Business 5101 Praxis Practice TEST 100% Pass
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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...
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GACE PRACTICE TEST Q&A 2023
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1. A command economy is characterized by: 
 
a. A laissez-faire approach by the government 
 
b. A moderate amount of government intervention in the economy 
 
c. Businesses commanding all aspects of the economy 
 
d. The government controlling prices and production - Answer- D 
 
2. Which of the following is not a responsibility of the Securities and Exchange Commission (SEC)? 
 
a. Regulating securities 
 
b. Investigatirg insider trading 
 
c. Setting interest rates 
 
d. Processing a...
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