Pause to attempt the question yourself and resume to see if you got it right. Time Stamps: 1:42 ABLE account 2:47 Cooling off period 5:18 Primary transaction in the primary market and secondary transactions in the secondary market 8:49 Selling away 9:52 Uniform Securities Act "Blue Sky" 11:06 Best inflationary hedge is common stock 12:00 529 plan 12:39 Insider Trading Act of 1988 13:27 First trade in a new margin account under $2,000 pay in full 14:54 Rule 144 17:14 Lack of liquidity in a partnership 18:15 Systematic risk prevails despite diversification 19:49 Index fund 20:45 Municipal funds securities 22:19 Exchange Traded Notes (ETNs) are DEBT INSTRUMENTS WITH CREDIT RISK! 23:36 Allowed activities while registration is pending. Double negative should be removed. OMIT EXCEPT. 25:20 Current yield 26:40 3 stages of money laundering. Placement. layering, and integration. 27:46 Backing away 28:32 Suspicious Activity Report (SAR) 29:05 Uniform Transfer to Minors Act (UTMA) 30:25 Step up in cost base to heirs 31:37 Discount bond 32:46 Foreign currency risk 34:46 Joint Tenants in Common (JTIC) 35:12 Between $2,000 and $4,000 customer must put up $2,000 in new margin account 35:45 Stock split NOT TAXABLE. Cash dividends are TAXABLE. 37:24 Maximum gift or gratuity employee of one member firm can give to employee of another member firm is $100 39:13 GNMA 40:24 Common stock junior in liquidation 41:22 Use of a stop order 43:00 Six calendar quarters of declining GDP is a depression 44:39 Warrants are long term and exercisable below current market price at issuance 45:57 Bonds less than BBB are less than investment grade 46:36 Protective put and long stock position 48:52 Bond at a premium 50:29 Forward pricing of open end mutual fund shares 51:31 Class A shares 52:12 Regular way settlement 53:12 Naked or uncovered call has UNLIMITED RISK!!!! 53:58 Letter of Intent (LOI) 55:05 Market maker definition 55:34 Cooling off period is a minimum of 20 days 55:57 Securities Investor Protection Corporation (SIPC) 56:43 Cumulative voting 58:38 Roth IRA 58:56 Principal approval of sales literature pre distribution 59:16 Anti Money Laundering (AML) 59:50 Monthly statements for penny stocks 1:00:41 Qualified Institutional Buyer (QIB) 144A 1:01:28 $250 campaign contribution if you can vote for elected official 1:02:00 Patriot Act 1:02:22 Fed funds rate 1:03:46 Secured bonds senior in liquidation 1:04:24 Spread 1:04:41 Tools of the Fed 1:05:58 Chapter 11 bankruptcy 1:06:17 Definition of accredited investor under Reg D 1:07:58 Stock dividend 1:09:05 Securities Act of 1933 1:10:23 Closing sale is used to eliminate or reduce or offset a long position 1:12:21 Treasury stock 1:13:36 Call risk 1:14:16 Reverse split 1:16:03 Market maker's quote and size of the market maker's quote 1:17:26 Pre refunded or refunded bond 1:18:47 Transfer agent 1:19:08 Freeride and resulting freeze of credit for 90 days 1:19:45 Tender offer accept or reject 20 days 1:20:30 Rights are short term and exercisable below CMP 1:21:47 Accrued interest 1:22:34 Amendments to U 4 must be done within 30 days 1:23:49 Bank Secrecy Act 1:24:00 IRA rollover 60 days

• published: 31 Oct 2021
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