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FAQs tagged as

Laws & Regulation

  1.

    Can a company be state-run and publicly traded at the same time?

  2. Under the “Brochure” rule of the Investment Advisers Act of 1940, which of these statements is true?

  3. The maximum fine that can be assessed for a violation of the USA is what amount?

  4. According to the USA, it is unlawful for a person to offer to sell a security in a state unless:

  5. Who was the first person charged by the SEC?

  6. How are oil reserves accounted for on an oil company's balance sheet?

  7. When did earnings conference calls become open to the public?

  8. Does a company logo change require a material disclosable event?

  9. The SEC's Rule 144

  10. What is an unregistered mutual fund?

  11. Under the Investment Company Act of 1940, an investment company must have minimum net assets of how much before it can issue shares to the public?

  12. Which statement is FALSE about a prospectus issued under the Securities Act of 1933?

  13. How do indexes determine which stocks are removed or added to them?

  14. How do I know if I am buying unregistered securities or stocks?

  15. What are unregistered securities or stocks?

  16. Why did Tyco's financial statements attract the SEC's attention in 2002?

  17. What is an unregistered security scam?

  18. Investment advisors must register with the SEC when their assets under management total what amount?

  19. How do sunshine laws help investors?

  20. When must a company announce earnings?

  21. Are ETFs required to pay out a percentage of income as dividends?

  22. What happens when a company buys back its shares?

  23. What is meant by "full disclosure"?

  24. What happens to the fines collected by the Securities and Exchange Commission?

  25. What is the haircut rate imposed by clearing corporations?

  26. What parties are involved in the creation of an American depositary receipt?

  27. What does it mean when a stock trades on the Pink Sheets or the OTCBB?

  28. What are the steps to get a company listed on the OTCBB?

  29. What exactly is insider trading?

  30. Why do companies postpone earnings announcements?

  31. What is earnings management?

  32. What is the difference between open-market and closed-market transactions?

  33. What is a blackout period?

  34. What qualifies a person as a day trader?

  35. I want to start my own brokerage company, how do I become a member of FINRA?

  36. When an applicant submits a registration application, under the USA, it must include a consent to service of process, this means that the applicant:

  37. Where can I find a company's annual report and its SEC filings?

  38. I have a CFA designation. Do I qualify for any exemptions from FINRA licensing exams?

  39. Under the Investment Advisers Act of 1940, which of the following are exempt from registration as investment advisers under normal circumstances?

  40. How does FINRA differ from the SEC?

  41. How can I find out if my employer is a member of FINRA?

  42. I know there is a form of deposit insurance where a portion of my bank account deposits is protected. Is there anything like this for my investments?

  43. Am I qualified once I complete my FINRA certification exam?

  44. Are professionals, such as financial planners and brokers, liable for the advice they give?

  45. How does the government influence the securities market?

  46. What are elves?

  47. Why did my stock's ticker symbol change?

  48. What is the "squawk box scandal"?

  49. How does a company move from an OTC market to a major exchange?

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