Stable Corporation registered a bond issue that it plans to offer for sale in the state with the Administrator.
The bond has a par value of $1,000 and will pay interest of 7% a year, with the principal to be repaid in 5 years. The registration became effective on September 8th. The registration is effective
The trade confirmation must be received by the customer no later than
You are an investment adviser to Mr. Crochety, an elderly man who lives solely on his social security income although he managed to accumulate an investment portfolio worth about $100,000 over the years. Mr.
Crochety recently got his hands on a business publication and read about the tax-free interest paid by municipal bonds. He calls you and instructs you to sell his other investments and invest all his money in a municipal bond portfolio, so that "the government doesn't get any more of my hard-earned money." You tell Mr. Crochety that you don't believe this is a wise move because he's in such a low tax bracket that municipal bonds are not a good investment for him, but he is insistent. Based on these facts, you should
Which of the following laws deals with identity theft protection?
A client calls CanDo Broker-Dealers with a market-not-held order to buy 5,000 shares of China Security
and Surveillance Technology, Inc. (CSR), which sells on the NYSE, "at a good price today." The stock had
opened at $5.13, traded as high as $5.36 during the day, and closed at $5.10. CanDo executed the
purchase at a price of $5.31, so at market close, the client had lost $1,050. The client can
