Federal Securities Act | Series 65 Exam скачать в хорошем качестве

Federal Securities Act | Series 65 Exam

Federal Securities Act | Series 65 Exam 📚 Securities Act of 1933 💡 Preliminary Prospectus 📝 Intrastate Offerings- Rule 147 🔍 Regulation D “Big Dogs”- Private Placements 🎯 Rule 144- Public Resale of Restricted Stock 📚 Securities Exchange Act of 1934 💡 Margin Regulations 📝 Stabilization of New Issues 🔍 Investment Company Act of 1940: Investment company collects funds from people and purchases securities 🎯 12b-1 Fees 📚 Diversified Fund 75/5/10 💡 Unit Investment Trust: Fixed UIT and Non-fixed UIT 📝 Investment Advisor Definition Exclusions 🔍 Family Office Rule 🎯 Registration w SEC 📚 Form ADV Part 2B 💡 Investment Advisor contracts