Trust indenture act Study guides, Class notes & Summaries
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![CFIRS I QUESTIONS AND ANSWERS](/docpics/5100349/6629cdc53b3cf_5100349_121_171.jpeg)
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CFIRS I QUESTIONS AND ANSWERS
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Employee Benefit and Retirement Accounts - Answer-Which of the following types of accounts make up 
the majority of non-managed asset products? 
Investment Management & Advisory Accounts - Answer-Which of the following types of accounts make 
up the majority of managed asset products? 
Legislation - Answer-_______________is a law which has been enacted by a legislature and signed into 
law by the governor or president. 
Regulation - Answer-___________ is a rule created by an administrative agenc...
![Series 6 exam 2023 with 100% verified accurate answers](/docpics/3310000/64e7dca1132e0_3310000_121_171.jpeg)
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Series 6 exam 2023 with 100% verified accurate answers
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On the 2-year anniversary of their registration and every 3 years thereafter. - correct answerWhen must RRs complete the Regulatory Element of Continuing Education? 
 
True - correct answerTrue or False: Firm Element Continuing Education requires BDs to update employees on job and product-related subjects. 
 
U4 - correct answerTo apply for a securities license, one must file Form _____ with FINRA. 
 
Action (buy/sell), Amount (quantity), and Asset (security) - correct answerWhat three items mus...
![Series 79 questions and answers rated A+ 2024](/docpics/4449978/65c4cdae42279_4449978_121_171.jpeg)
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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...
![IACCP (MASTER TERMS) LATEST UPDATED 2024/2025](/docpics/4612112/65ddc96145c95_4612112_121_171.jpeg)
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IACCP (MASTER TERMS) LATEST UPDATED 2024/2025
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IACCP (MASTER TERMS) LATEST UPDATED 2024/2025 
Assignment - Correct Answer Any direct or indirect transfer or hypothecation of an investment advisory contract by the assignor 
 
Who is not an Investment Advisor? - Correct Answer A Bank, Lawyer, accountant, engineer, teach whose performance of such services is solely incidental to the practice of his profession, Broker-dealer (commission only)published of any bona fide newspaper, magazine, business publication, rating systems (Moodys, etc.) 
 
Wh...
![FINRA Series 6 Practice Exam Questions with Answers](/docpics/5673158/6672836488d0d_5673158_121_171.jpeg)
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FINRA Series 6 Practice Exam Questions with Answers
- Exam (elaborations) • 17 pages • 2024
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On the 2-year anniversary of their registration and every 3 years thereafter. When must RRs complete the Regulatory Element of Continuing Education? 
 
True True or False: Firm Element Continuing Education requires BDs to update employees on job and product-related subjects. 
 
U4 To apply for a securities license, one must file Form _____ with FINRA. 
 
Action (buy/sell), Amount (quantity), and Asset (security) What three items must be specified on a not held order 
 
A not held order will be c...
![IACCP (MASTER TERMS) EXAM | QUESTIONS & 100% CORRECT ANSWERS (VERIFIED) | LATEST UPDATE | GRADEA+](/docpics/4775386/65f855c585763_4775386_121_171.jpeg)
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IACCP (MASTER TERMS) EXAM | QUESTIONS & 100% CORRECT ANSWERS (VERIFIED) | LATEST UPDATE | GRADEA+
- Exam (elaborations) • 51 pages • 2024
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IACCP (MASTER TERMS) EXAM | 
QUESTIONS & 100% CORRECT ANSWERS 
(VERIFIED) | LATEST UPDATE | GRADEA+ 
Assignment 
Correct Answer: Any direct or indirect transfer or hypothecation of an investment 
advisory contract by the assignor 
Who is not an Investment Advisor? 
Correct Answer: A Bank, Lawyer, accountant, engineer, teach whose performance of 
such services is solely incidental to the practice of his profession, Broker-dealer 
(commission only)published of any bona fide newspaper, magazi...
![IACCP (MASTER TERMS) QUESTIONS AND ANSWERS 2024](/docpics/4223019/65a3b127ba93a_4223019_121_171.jpeg)
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IACCP (MASTER TERMS) QUESTIONS AND ANSWERS 2024
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IACCP (MASTER TERMS) QUESTIONS AND ANSWERS 2024 
Assignment 
Any direct or indirect transfer or hypothecation of an investment advisory contract by the assignor 
 
 
 
Who is not an Investment Advisor? 
A Bank, Lawyer, accountant, engineer, teach whose performance of such services is solely incidental to the practice of his profession, Broker-dealer (commission only)published of any bona fide newspaper, magazine, business publication, rating systems (Moodys, etc.) 
 
 
 
 
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![IACCP (MASTER TERMS) EXAM QUESTIONS AND ANSWERS ALL CORRECT](/docpics/63ecd808be1b6_2373393.jpg)
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IACCP (MASTER TERMS) EXAM QUESTIONS AND ANSWERS ALL CORRECT
- Exam (elaborations) • 27 pages • 2023
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IACCP (MASTER TERMS) EXAM QUESTIONS AND ANSWERS ALL CORRECT 
Assignment - CORRECT ANSWERS Any direct or indirect transfer or hypothecation of an investment advisory contract by the assignor 
 
Who is not an Investment Advisor? - CORRECT ANSWERS A Bank, Lawyer, accountant, engineer, teach whose performance of such services is solely incidental to the practice of his profession, Broker-dealer (commission only)published of any bona fide newspaper, mag...
![FINRA Series 7 Unit 7 Practice Questions with Correct Answers](/docpics/5673721/6672a12728da7_5673721_121_171.jpeg)
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FINRA Series 7 Unit 7 Practice Questions with Correct Answers
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Securities Act of 1933 Federal legislation requiring the full fair disclosure of all material information about the issuance of new securities. 
 
Securities Exchange Act of 1934 Federal legislation that established the Securities and Exchange Commission. The act aims to protect investors by regulating the exchanges, the over-the-counter market, the extension of credit by the Federal Reserve Board, broker/dealers, insider transactions, trading activities, client accounts, and net capital 
 
Secu...
![NRS IACCP Exam; IACCP (MASTER TERMS) with Complete Solutions](/docpics/6430f45e27dcf_2568206.jpg)
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NRS IACCP Exam; IACCP (MASTER TERMS) with Complete Solutions
- Exam (elaborations) • 23 pages • 2023
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NRS IACCP Exam; IACCP (MASTER TERMS) with Complete Solutions 
 
 
Assignment - ANSWER Any direct or indirect transfer or hypothecation of an investment advisory contract by the assignor 
 
Who is not an Investment Advisor? - ANSWER A Bank, Lawyer, accountant, engineer, teach whose performance of such services is solely incidental to the practice of his profession, Broker-dealer (commission only)published of any bona fide newspaper, magazine, business publication, rating systems (Moodys, etc.) 
...
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