The most important exemption from the prospectus requirement are the "Accredited Investors" provisions in the Securities Act. Who are defined as Accredited Investors? Multiple Choice Banks and investment dealers. Individuals and their spouses owning net financial assets exceeding $1 million; and individuals who, either alone or with a spouse, have net assets of at least $5 million. Banks, investment dealers and governments. All of these are accredited investors. Governments.
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1
The most important exemption from the prospectus requirement are the "Accredited Investors" provisions in the Securities Act. Who are defined as Accredited Investors?
Multiple Choice
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Banks and investment dealers.
-
Individuals and their spouses owning net financial assets exceeding $1 million; and individuals who, either alone or with a spouse, have net assets of at least $5 million.
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Banks, investment dealers and governments.
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All of these are accredited investors.
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Governments.
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- Which of the following is not a description of a classification of a financial institution? An entity that accept money from public and use such to financial instruments issued by businesses or government. An office that collect taxes from registered individuals. An associations whose members are supposed to have a common bond. A company that offers a variety of savings and loan products.Which do factors and insurance companies have in common? Both are primary participants in money market mutual funds (MMMFs) Both are federally or state chartered as commercial banks in the U.S. Both allow extending credit to customers without putting a firm directly at risk Both are nonbank financial institutionsChoose the correct.The Securities Exchange Act of 1934:a. Regulates the public trading of previously issued securities through brokers and exchanges.b. Prohibits blue sky laws.c. Regulates the initial offering of securities by a company.d. Requires the registration of investment advisers
- Which statement is NOT true of Asset-backed securities and Mortgage-backed securities in the Philippines? * Asset-backed securities (ABS) are certificates issued by a Special Purpose Trust (SPT) representing undivided ownership interest in the asset pool. ABS are eligible as collaterals for loans extended by a bank which originated/sold the underlying assets of such ABS. ABS and MBS benefit sellers because they can be removed from the balance sheet, allowing sellers to acquire additional funding. Investors in the Philippines are wary on the reliability of MBS specifically those backed by assets of low income households and those originated by publicly controlled finance institutions. Mortgage-backed securities (MBS) are formed by pooling together mortgages.Which of the following statements is CORRECT? A. Capital market instruments include both mortgages and U.S. Treasury bonds. B. An example of a primary market transaction would be your uncle transferring 100 shares of Wal-Mart stock to you as a birthday gift. C. The NYSE does not exist as a physical location. Rather it represents a loose collection of dealers who trade stock electronically. D. While the two frequently perform similar functions, investment banks generally specialize in lending money, whereas commercial banks generally help companies raise large blocks of capital from investors.The Securities Exchange Act of 1934a. Regulates the public trading of previously issued securities through brokers and exchanges.b. Prohibits blue sky laws.c. Regulates the initial offering of securities by a company.d. Requires the registration of investment advisers.
- What are the pros and cons of U.S. savings bonds? What are some of the problems that individuals might face if they use one of the “problematic” financial institutions? What are some of the consumer protections available? What can individuals do to protect themselves? What are some of the advantages and disadvantages of choosing a federally-insured account? What are some considerations in choosing a financial institution?Which of these institutions are not major investors in U.S. equities? Version 1 7 A) Mutual funds B) Banks C) Pension funds D) Hedge funds20- Which of the following Institutions are compensated via commission after the transaction has been successfully completed for buying or selling securities? a. Brokerages b. Investment Company c. Insurance Companies d. Savings and Loans Association
- Which of the following is true of financial institutions? A. Financial institutions are the regulators of interest rates and other returns in financial markets. B. Financial institutions are accountable and responsible in reporting financial information for publicly-traded corporations. C. Financial institutions are required by the Sarbanes-Oxley Act to disclose the environment-friendly measures taken by investment corporations.Question 1 The role of the information is important for Your answer: Ofinancial institutions because they summarize essential information about the individual borrower. financial markets because they aggregate information from many sources and communicate it widely. O financial instruments because they summarize essential information about the individual borrower. financial institutions because they aggregate information from many sources and communicate it widely.Several market participants interact in developed markets to organize the exchange of funds from buyers to sellers. Such institutions as investment banks, commercial banks, financial services corporations, credit unions, pension funds, life insurance companies, mutual funds, exchange traded funds, hedge funds, and private equity companies play a key role in facilitating these transfers. Identify the financial institution based on each description given in the following table: Description Financial Institution They underwrite, distribute, and design investment securities for corporations to help them raise capital. Finacial Services Corporations,Commercial Banks, Investment Banks They are established by an employer to facilitate and organize employee retirement funds. They are asset pools that invest in securities that have a potential to give stable returns. Life Insurance, Credit Unions, Pension Funds With the use of advanced investment techniques, these…