Series 79 Study guides, Class notes & Summaries

AQA AS PSYCHOLOGY 7181/2 Paper 2 Psychology in context Question Paper + Mark scheme [MERGED] June 2022 *JUN* IB/G/Jun22/E8 7181/2 For Examiner’s Use Section Mark A B C TOTAL Time allowed: 1 hour 30 minutes Materials For this paper you may use: • a calculator. Instructions • Use black ink or black ball-point pen. • Fill in the boxes at the top of this page. • Answer all questions. • You must answer the questions in the spaces provided. Do not write outside the...

HESI RN EXIT EXAM V1-V7 (LATEST ) / RN EXIT HESI EXAM V1,V2,V3,V4,V5,V6,V7 1. Following discharge teaching, a male client with duodenal ulcer tells the nurse the he will drink plenty of dairy products, such as milk, to help coat and protect his ulcer. What is the best follow-up action by the nurse? • Review with the client the need to avoid foods that are rich in milk and cream 2. A male client with hypertension, who received new antihypertensive prescriptions at his last visit returns ...

Series 79 Primary Markets - correct answer Sale of securities directly from issuers to investors. IPO; weekly auction of treasury bills Secondary Markets - correct answer exchange of existing securities between investors. NYSE, etc Broker-Dealer - correct answer Broker is defined as any person engaged in the business of effecting transactions in securities for the account of others. Dealer is defined as any person engaged in the business of buying and selling securities for its own accoun...

Series 79 10-Ks - correct answer Non-accelerated filers: 90 days Accelerated filers: 75 days Large accelerated filers: 60 days 10-Qs - correct answer Non-accelerated filers: 45 days Accelerated filers: 40 days Large accelerated filers: 40 days 8-K - correct answer Must be filed WITHIN 4 BUSINESS DAYS after triggering event Schedule 13-D (D comes before G) - correct answer A person, or a group of persons acting together, who directly or indirectly acquires beneficial ownersh...

Series 79 Private placements can be sold to (Reg. D): - correct answer Unlimited number of accredited investors, and up to 35 non-accredited investors Accredited investors - correct answer Officers/directors of an Issuer Financial institutions (regardless of their assets) Trusts & Business Partnerships with $5mm+ in assets Individuals with $200k+ in income or $1mm+ of net worth What is the threshold for defining a large accelerated filer? - correct answer $700mm worldwide non-affiliate...

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...

Series 79 Key ConceptsSection 11 DD Defense - correct answer Any untrue statements were believed to be true at the time (prudent man, NO need for attorney comfort letter) Can't be used by issuer and non-consenting accountants Signees on registration statement - correct answer 1. Issuer's CEO 2. Issuer's CFO 3. Issuer's Controller 4. Majority of the Board Gun-Jumping - correct answer Any disclosure of information in the 30 DAYS BEFORE an issuer decides to IPO or file a registrat...

Series 79 Knopman Marksfalling interest rates - correct answer an investor who expects interest rates to fall would want a long duration zero coupon bond bond pricing - correct answer if an issuer is disappointed with the amount raised in a debt offering it could increase the interest rate i.e. +200bps to +250 bps bond spreads - correct answer High-yield bonds have wider spreads than investment grade or Treasury bonds yield-to-worst - correct answer bond trade confirmation must include ...

Series 79 Knopman Marks deferred tax asset or liability? Acceleration of revenue for accounting purposes - correct answer Deferred tax liability Source or use of cash? Decrease in accrued liabilities - correct answer Use of Cash Source or use of cash? Improvement in net working capital - correct answer Use of cash Purpose of a Schedule 13F - correct answer A 13F is a quarterly filing by Institutional Investment managers to disclose long equity positions Disclosure document used to g...

Series 79 Flash CardsU5 Form? - correct answer Generated when you quit or resign from a securities firm. Must be reviewed with new employer within 60 days of filing U4 application U4 Form? - correct answer Must be filed to register with any SRO and be filed with the Central Registration Depository. Disqualified from U4 if any of these apply to you: 1. Fasle reports. 2. Bribery 3. Perjury 4. ANY other felony. Banned for 10 years and needs waiver to be hired Who must register f...

Series 79 QuestionsFor an EGC, when can research be published? - correct answer Immediately after the effective date Can XYZ company preview an equity research report written by an investment bank about itself? - correct answer Equity research may be reviewed by the subject company solely for verification of facts. The draft submitted to the company must omit the research summary, rating, or price target. Legal / compliance must review the full report before it is submitted to the target comp...

Series 79 Investment Banking Front-Running - correct answer Trading ahead of client orders Painting the Tape - correct answer Creating a misleading appearance of trading Pegging - correct answer Manipulative activity used to keep a price from falling Capping - correct answer Manipulative activity used to keep a price from rising Insider Trading Criminal Penalties - correct answer Individuals: max fine of $5m, 20 yrs Corporation: max fine of $25m Insider Trading Civil Penalties -...