{ "@context": "https://schema.org", "@type": "Organization", "name": "Brainscape", "url": "https://www.brainscape.com/", "logo": "https://www.brainscape.com/pks/images/cms/public-views/shared/Brainscape-logo-c4e172b280b4616f7fda.svg", "sameAs": [ "https://www.facebook.com/Brainscape", "https://x.com/brainscape", "https://www.linkedin.com/company/brainscape", "https://www.instagram.com/brainscape/", "https://www.tiktok.com/@brainscapeu", "https://www.pinterest.com/brainscape/", "https://www.youtube.com/@BrainscapeNY" ], "contactPoint": { "@type": "ContactPoint", "telephone": "(929) 334-4005", "contactType": "customer service", "availableLanguage": ["English"] }, "founder": { "@type": "Person", "name": "Andrew Cohen" }, "description": "Brainscape’s spaced repetition system is proven to DOUBLE learning results! Find, make, and study flashcards online or in our mobile app. Serious learners only.", "address": { "@type": "PostalAddress", "streetAddress": "159 W 25th St, Ste 517", "addressLocality": "New York", "addressRegion": "NY", "postalCode": "10001", "addressCountry": "USA" } }

Series 79 - Additional Useful Information Flashcards

(21 cards)

1
Q

Preliminary proxy must be filed with the SEC at least ___________ prior to filing of a definitive proxy.

A

10 CALENDAR days

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2
Q

Definitive proxy must be filed with the SEC and sent to shareholders at least _______ prior to the shareholder meeting.

A

20 CALENDAR days

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3
Q

A tender offer must be made available to shareholders for at least _______. The 14D-9 target board response is due within ________ of the commencement of a tender offer.

A

20 BUSINESS days; 10 BUSINESS days

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4
Q

Final syndicate settlement must occur within ____ days following the syndicate settlement date

A

90 days

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5
Q

A currency transaction report must be filed within ____ days of cash deposit in excess of $10,000

A

15 days

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6
Q

A suspicious activity report must be filed within ____ days of learning of suspicious activity.

A

30 days

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7
Q

A press release to announce a transaction is defined as a prospectus and must be filed with the SEC no later than _______.

A

the date of first use

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8
Q

How is a synergies adjusted multiple calculated?

A

(EBITDA*Purchase Multiple)/(EBITDA+Synergies)

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9
Q

In a PIPE (private investment in public equity) offering…

A

investors commit to purchase a certain number of restricted (unregistered) shares from a public company at a specified price

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10
Q

A greenshoe is an overallotment option which is exercised at the discretion of the ____, not the _____.

A

underwriter; not the issuer

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11
Q

When marketing an IPO, the red herring must be delivered to investors at least _______ prior to confirming the sales of securities

A

48 hours

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12
Q

Ineligible Issuers include:

A

(1) a company not current with its SEC filings
(2) a company that has filed for bankruptcy in the past three years
(3) a blank check company
* *ineligible issuer CANNOT use a free writing prospectus**

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13
Q

In a fixed price offering, all investors must pay _____. Only participants in the underwriting can pay _____.

A

the public offer price; a discount

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14
Q

Teaser always include the contact information of…

A

the sell side adviser

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15
Q

An investment company is NOT a…

A

WKSI

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16
Q

A Private Placement Memorandum is required for non-accredited investors unless the private placement is for less than _______.

17
Q

Who appoints the UCC in a Chapter 11 bankruptcy?

A

US Trustee (part of Dept of Justice)

18
Q

Who might a DEIP hire to run a Section 363 sale?

A

might hire a broker-dealer

19
Q

The “all holders, best price” rule prohibits a purchaser in a tender from…

A

offering better terms to large shareholders

20
Q

In a 2 step merger, shareholders…

21
Q

A/R Days is a measure of….

A

how long customers take to pay for products