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Today’s edition of the Wall Street Journal carried a front page story regarding a federal lawsuit that has been filed against a software manufacturer for monopolistic practices. The CFO of the company called his broker today and sold some of the shares he owns in the company. Which of the following statements are true?I. The CFO is guilty of illegal insider trading.II. If the agent who effected the transaction for the CFO knew he was CFO of the software company, the agent is guilty of illegal insider trading.III. The broker-dealer for whom the agent works may have its license suspended or revoked if its agent has knowingly executed this illegal insider trade for not having supervised the agent properly.
Which of the following statements regarding an open-end investment company is not true?
Registration by coordination is provided for by which of the following federal securities acts?
You execute a stock transaction for a client on Thursday, September 23rd. The settlement date on the order ticket will be
In accordance with the National Securities Markets Improvement Act of 1996, which of the following is a federal covered adviser and, therefore, exempt from registering with the state Administrator?I. An adviser who does business in 26 statesII. An adviser who manages the portfolio of a mutual fund that is registered with the SEC.III. An adviser with $35 million in assets under management
Layered Corporation wants to issue a bond that will have warrants attached. Each warrant gives the holder the right to buy 5 shares of Layered’s common stock at a price stipulated on the warrant. In this instance, Layered must file to register which of the following securities with the state?I. the bondsII. the warrants III. the common stock
Your client calls you with a market order to purchase 500 shares of the stock of Oracle and asks when payment will be due. If today is Wednesday, September 15th, you inform the client that payment is due on
To say a security is “exempt,” means thatI. it is exempt from the state’s anti-fraud laws. II. it is exempt from state registration requirements. III. any transaction involving it is considered to be an exempt transaction.
Alice Wonder called her broker on Tuesday, August 10th, with a market order to buy 10 calls on the stock of Abbott Laboratories. Under normal conditions, Alice will have to pay for the calls on
The Administrator may not introduce a stop order to deny, revoke, or suspend the effective registration of a security based on facts that were disclosed during the registration process unless he does so within