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Series 79 Top-Off Exam flashcards

Series 79 - Version of Detailed Subsections of Chapter

This class was created by Brainscape user Sean Modjtehedi. Visit their profile to learn more about the creator.

By: Sean Modjtehedi
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Decks in this class (16)

Chapter 1: Data Collection And Analysis
Form 8 k,
Edgar,
Form 10 k
17  cards
Chapter 1: Analysis & Evaluation Of Data
Current ratio working capital ratio,
Quick ratio,
Debt to equity ratio
92  cards
Chapter 1: Analysis of Markets and Industry Trends
Functions of financial markets,
Stock markets,
Bond markets
33  cards
Chapter 1: Characteristics of Securities & Other Financial Instruments
Equity securities,
Common stock,
Rights of common holders
60  cards
Chapter 1: Analysis of Trends in Precedent Transactions
Registration statements,
Going private transaction,
Schedule 13e 3
7  cards
Chapter 1: Analysis of Investor and Shareholder Data
Growth investment strategy,
Aggressive growth investment stra...,
Capital appreciation investment s...
22  cards
Chapter 1: Analysis of Alternatives Available to Companies
C corporations,
S corporations,
S corp requirements
25  cards
Chapter 1: Due Diligence Activities
Business and operational dd,
Financial and accounting dd,
Legal dd
14  cards
Chapter 2: Public Offerings
Securities act of 1933,
Section 5 of the securities act,
Pre filing period
61  cards
Chapter 2: Activities of the Underwriting Syndicate
Agreement among underwriters,
Underwriting agreement,
Types of underwriting commitments
5  cards
Chapter 2: Execution and Distribution
Finra rule 5141,
Finra rule 5130,
Finra rule 6130 no ipo sales befo...
11  cards
Chapter 2: Post Execution Activities for Financing Deals
6 year records,
3 year records,
Records to be kept current
6  cards
Chapter 2: Exemptions From The Registration Requirements of the '33 Act
Types of securities that are exempt,
Regulation d,
Reg d rule 501
10  cards
Chapter 3: M&A Sell Side Transactions
Divesture,
Spinoff,
Stock purchase
6  cards
Chapter 3: Fairness Opinions
Finra rule 5150
1  cards
Chapter 3: SEC Rules Applicable to M&A
Sec rule 145,
Form s 4,
Sec rule 165
5  cards

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Series 79 - Version of Detailed Subsections of Chapter

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