NEW QUESTION: 4
Ms. Scatty is a registered representative with a well-known family of mutual funds. When selling one of the funds, she forgets to give her buyer a prospectus.
Which of the following statements is true?
A. Since mutual funds are not covered under the Securities Act of 1933, there is no liability in this instance.
B. Ms. Scatty can be held criminally liable under the Securities Act of 1933.
C. Both A and B are true statements.
D. Ms. Scatty can be held civilly liable under the Securities Act of 1933.
Answer: D
Explanation:
Explanation/Reference:
Explanation: If Ms. Scatty forgets to give her buyer a prospectus when selling one of the funds, she can be held civilly liable under the Securities Act of 1933. Unless there was an intent to defraud, she is not subject to criminal penalties. The purchase and sale of mutual fund shares fall under the Securities Act of 1933.
NEW QUESTION: 4
Ms. Scatty is a registered representative with a well-known family of mutual funds. When selling one of the funds, she forgets to give her buyer a prospectus.
Which of the following statements is true?
A. Since mutual funds are not covered under the Securities Act of 1933, there is no liability in this instance.
B. Ms. Scatty can be held criminally liable under the Securities Act of 1933.
C. Both A and B are true statements.
D. Ms. Scatty can be held civilly liable under the Securities Act of 1933.
Answer: D
Explanation:
Explanation/Reference:
Explanation: If Ms. Scatty forgets to give her buyer a prospectus when selling one of the funds, she can be held civilly liable under the Securities Act of 1933. Unless there was an intent to defraud, she is not subject to criminal penalties. The purchase and sale of mutual fund shares fall under the Securities Act of 1933.
NEW QUESTION: 4
Ms. Scatty is a registered representative with a well-known family of mutual funds. When selling one of the funds, she forgets to give her buyer a prospectus.
Which of the following statements is true?
A. Since mutual funds are not covered under the Securities Act of 1933, there is no liability in this instance.
B. Ms. Scatty can be held criminally liable under the Securities Act of 1933.
C. Both A and B are true statements.
D. Ms. Scatty can be held civilly liable under the Securities Act of 1933.
Answer: D
Explanation:
Explanation/Reference:
Explanation: If Ms. Scatty forgets to give her buyer a prospectus when selling one of the funds, she can be held civilly liable under the Securities Act of 1933. Unless there was an intent to defraud, she is not subject to criminal penalties. The purchase and sale of mutual fund shares fall under the Securities Act of 1933.
NEW QUESTION: 4
Ms. Scatty is a registered representative with a well-known family of mutual funds. When selling one of the funds, she forgets to give her buyer a prospectus.
Which of the following statements is true?
A. Since mutual funds are not covered under the Securities Act of 1933, there is no liability in this instance.
B. Ms. Scatty can be held criminally liable under the Securities Act of 1933.
C. Both A and B are true statements.
D. Ms. Scatty can be held civilly liable under the Securities Act of 1933.
Answer: D
Explanation:
Explanation/Reference:
Explanation: If Ms. Scatty forgets to give her buyer a prospectus when selling one of the funds, she can be held civilly liable under the Securities Act of 1933. Unless there was an intent to defraud, she is not subject to criminal penalties. The purchase and sale of mutual fund shares fall under the Securities Act of 1933.
NEW QUESTION: 4
Ms. Scatty is a registered representative with a well-known family of mutual funds. When selling one of the funds, she forgets to give her buyer a prospectus.
Which of the following statements is true?
A. Since mutual funds are not covered under the Securities Act of 1933, there is no liability in this instance.
B. Ms. Scatty can be held criminally liable under the Securities Act of 1933.
C. Both A and B are true statements.
D. Ms. Scatty can be held civilly liable under the Securities Act of 1933.
Answer: D
Explanation:
Explanation/Reference:
Explanation: If Ms. Scatty forgets to give her buyer a prospectus when selling one of the funds, she can be held civilly liable under the Securities Act of 1933. Unless there was an intent to defraud, she is not subject to criminal penalties. The purchase and sale of mutual fund shares fall under the Securities Act of 1933.
NEW QUESTION: 4
Ms. Scatty is a registered representative with a well-known family of mutual funds. When selling one of the funds, she forgets to give her buyer a prospectus.
Which of the following statements is true?
A. Since mutual funds are not covered under the Securities Act of 1933, there is no liability in this instance.
B. Ms. Scatty can be held criminally liable under the Securities Act of 1933.
C. Both A and B are true statements.
D. Ms. Scatty can be held civilly liable under the Securities Act of 1933.
Answer: D
Explanation:
Explanation/Reference:
Explanation: If Ms. Scatty forgets to give her buyer a prospectus when selling one of the funds, she can be held civilly liable under the Securities Act of 1933. Unless there was an intent to defraud, she is not subject to criminal penalties. The purchase and sale of mutual fund shares fall under the Securities Act of 1933.
NEW QUESTION: 4
Ms. Scatty is a registered representative with a well-known family of mutual funds. When selling one of the funds, she forgets to give her buyer a prospectus.
Which of the following statements is true?
A. Since mutual funds are not covered under the Securities Act of 1933, there is no liability in this instance.
B. Ms. Scatty can be held criminally liable under the Securities Act of 1933.
C. Both A and B are true statements.
D. Ms. Scatty can be held civilly liable under the Securities Act of 1933.
Answer: D
Explanation:
Explanation/Reference:
Explanation: If Ms. Scatty forgets to give her buyer a prospectus when selling one of the funds, she can be held civilly liable under the Securities Act of 1933. Unless there was an intent to defraud, she is not subject to criminal penalties. The purchase and sale of mutual fund shares fall under the Securities Act of 1933.
NEW QUESTION: 4
Ms. Scatty is a registered representative with a well-known family of mutual funds. When selling one of the funds, she forgets to give her buyer a prospectus.
Which of the following statements is true?
A. Since mutual funds are not covered under the Securities Act of 1933, there is no liability in this instance.
B. Ms. Scatty can be held criminally liable under the Securities Act of 1933.
C. Both A and B are true statements.
D. Ms. Scatty can be held civilly liable under the Securities Act of 1933.
Answer: D
Explanation:
Explanation/Reference:
Explanation: If Ms. Scatty forgets to give her buyer a prospectus when selling one of the funds, she can be held civilly liable under the Securities Act of 1933. Unless there was an intent to defraud, she is not subject to criminal penalties. The purchase and sale of mutual fund shares fall under the Securities Act of 1933.
NEW QUESTION: 4
Ms. Scatty is a registered representative with a well-known family of mutual funds. When selling one of the funds, she forgets to give her buyer a prospectus.
Which of the following statements is true?
A. Since mutual funds are not covered under the Securities Act of 1933, there is no liability in this instance.
B. Ms. Scatty can be held criminally liable under the Securities Act of 1933.
C. Both A and B are true statements.
D. Ms. Scatty can be held civilly liable under the Securities Act of 1933.
Answer: D
Explanation:
Explanation/Reference:
Explanation: If Ms. Scatty forgets to give her buyer a prospectus when selling one of the funds, she can be held civilly liable under the Securities Act of 1933. Unless there was an intent to defraud, she is not subject to criminal penalties. The purchase and sale of mutual fund shares fall under the Securities Act of 1933.
NEW QUESTION: 4
Ms. Scatty is a registered representative with a well-known family of mutual funds. When selling one of the funds, she forgets to give her buyer a prospectus.
Which of the following statements is true?
A. Since mutual funds are not covered under the Securities Act of 1933, there is no liability in this instance.
B. Ms. Scatty can be held criminally liable under the Securities Act of 1933.
C. Both A and B are true statements.
D. Ms. Scatty can be held civilly liable under the Securities Act of 1933.
Answer: D
Explanation:
Explanation/Reference:
Explanation: If Ms. Scatty forgets to give her buyer a prospectus when selling one of the funds, she can be held civilly liable under the Securities Act of 1933. Unless there was an intent to defraud, she is not subject to criminal penalties. The purchase and sale of mutual fund shares fall under the Securities Act of 1933.
NEW QUESTION: 4
Ms. Scatty is a registered representative with a well-known family of mutual funds. When selling one of the funds, she forgets to give her buyer a prospectus.
Which of the following statements is true?
A. Since mutual funds are not covered under the Securities Act of 1933, there is no liability in this instance.
B. Ms. Scatty can be held criminally liable under the Securities Act of 1933.
C. Both A and B are true statements.
D. Ms. Scatty can be held civilly liable under the Securities Act of 1933.
Answer: D
Explanation:
Explanation/Reference:
Explanation: If Ms. Scatty forgets to give her buyer a prospectus when selling one of the funds, she can be held civilly liable under the Securities Act of 1933. Unless there was an intent to defraud, she is not subject to criminal penalties. The purchase and sale of mutual fund shares fall under the Securities Act of 1933.
NEW QUESTION: 4
Ms. Scatty is a registered representative with a well-known family of mutual funds. When selling one of the funds, she forgets to give her buyer a prospectus.
Which of the following statements is true?
A. Since mutual funds are not covered under the Securities Act of 1933, there is no liability in this instance.
B. Ms. Scatty can be held criminally liable under the Securities Act of 1933.
C. Both A and B are true statements.
D. Ms. Scatty can be held civilly liable under the Securities Act of 1933.
Answer: D
Explanation:
Explanation/Reference:
Explanation: If Ms. Scatty forgets to give her buyer a prospectus when selling one of the funds, she can be held civilly liable under the Securities Act of 1933. Unless there was an intent to defraud, she is not subject to criminal penalties. The purchase and sale of mutual fund shares fall under the Securities Act of 1933.
NEW QUESTION: 4
Ms. Scatty is a registered representative with a well-known family of mutual funds. When selling one of the funds, she forgets to give her buyer a prospectus.
Which of the following statements is true?
A. Since mutual funds are not covered under the Securities Act of 1933, there is no liability in this instance.
B. Ms. Scatty can be held criminally liable under the Securities Act of 1933.
C. Both A and B are true statements.
D. Ms. Scatty can be held civilly liable under the Securities Act of 1933.
Answer: D
Explanation:
Explanation/Reference:
Explanation: If Ms. Scatty forgets to give her buyer a prospectus when selling one of the funds, she can be held civilly liable under the Securities Act of 1933. Unless there was an intent to defraud, she is not subject to criminal penalties. The purchase and sale of mutual fund shares fall under the Securities Act of 1933.
NEW QUESTION: 4
Ms. Scatty is a registered representative with a well-known family of mutual funds. When selling one of the funds, she forgets to give her buyer a prospectus.
Which of the following statements is true?
A. Since mutual funds are not covered under the Securities Act of 1933, there is no liability in this instance.
B. Ms. Scatty can be held criminally liable under the Securities Act of 1933.
C. Both A and B are true statements.
D. Ms. Scatty can be held civilly liable under the Securities Act of 1933.
Answer: D
Explanation:
Explanation/Reference:
Explanation: If Ms. Scatty forgets to give her buyer a prospectus when selling one of the funds, she can be held civilly liable under the Securities Act of 1933. Unless there was an intent to defraud, she is not subject to criminal penalties. The purchase and sale of mutual fund shares fall under the Securities Act of 1933.
NEW QUESTION: 4
Ms. Scatty is a registered representative with a well-known family of mutual funds. When selling one of the funds, she forgets to give her buyer a prospectus.
Which of the following statements is true?
A. Since mutual funds are not covered under the Securities Act of 1933, there is no liability in this instance.
B. Ms. Scatty can be held criminally liable under the Securities Act of 1933.
C. Both A and B are true statements.
D. Ms. Scatty can be held civilly liable under the Securities Act of 1933.
Answer: D
Explanation:
Explanation/Reference:
Explanation: If Ms. Scatty forgets to give her buyer a prospectus when selling one of the funds, she can be held civilly liable under the Securities Act of 1933. Unless there was an intent to defraud, she is not subject to criminal penalties. The purchase and sale of mutual fund shares fall under the Securities Act of 1933.
NEW QUESTION: 4
Ms. Scatty is a registered representative with a well-known family of mutual funds. When selling one of the funds, she forgets to give her buyer a prospectus.
Which of the following statements is true?
A. Since mutual funds are not covered under the Securities Act of 1933, there is no liability in this instance.
B. Ms. Scatty can be held criminally liable under the Securities Act of 1933.
C. Both A and B are true statements.
D. Ms. Scatty can be held civilly liable under the Securities Act of 1933.
Answer: D
Explanation:
Explanation/Reference:
Explanation: If Ms. Scatty forgets to give her buyer a prospectus when selling one of the funds, she can be held civilly liable under the Securities Act of 1933. Unless there was an intent to defraud, she is not subject to criminal penalties. The purchase and sale of mutual fund shares fall under the Securities Act of 1933.
NEW QUESTION: 4
Ms. Scatty is a registered representative with a well-known family of mutual funds. When selling one of the funds, she forgets to give her buyer a prospectus.
Which of the following statements is true?
A. Since mutual funds are not covered under the Securities Act of 1933, there is no liability in this instance.
B. Ms. Scatty can be held criminally liable under the Securities Act of 1933.
C. Both A and B are true statements.
D. Ms. Scatty can be held civilly liable under the Securities Act of 1933.
Answer: D
Explanation:
Explanation/Reference:
Explanation: If Ms. Scatty forgets to give her buyer a prospectus when selling one of the funds, she can be held civilly liable under the Securities Act of 1933. Unless there was an intent to defraud, she is not subject to criminal penalties. The purchase and sale of mutual fund shares fall under the Securities Act of 1933.
We always upgrade our products with latest 3 + $600(1.1) + $500 = $1,692.40.
3. Find MIRR:
N = 4
PV = -865.2893
PMT = 0
FV = 1,692.40
Solve for I = MIRR = 18.2593%.
NEW QUESTION: 4
Ms. Scatty is a registered representative with a well-known family of mutual funds. When selling one of the funds, she forgets to give her buyer a prospectus.
Which of the following statements is true?
A. Since mutual funds are not covered under the Securities Act of 1933, there is no liability in this instance.
B. Ms. Scatty can be held criminally liable under the Securities Act of 1933.
C. Both A and B are true statements.
D. Ms. Scatty can be held civilly liable under the Securities Act of 1933.
Answer: D
Explanation:
Explanation/Reference:
Explanation: If Ms. Scatty forgets to give her buyer a prospectus when selling one of the funds, she can be held civilly liable under the Securities Act of 1933. Unless there was an intent to defraud, she is not subject to criminal penalties. The purchase and sale of mutual fund shares fall under the Securities Act of 1933.
NEW QUESTION: 4
Ms. Scatty is a registered representative with a well-known family of mutual funds. When selling one of the funds, she forgets to give her buyer a prospectus.
Which of the following statements is true?
A. Since mutual funds are not covered under the Securities Act of 1933, there is no liability in this instance.
B. Ms. Scatty can be held criminally liable under the Securities Act of 1933.
C. Both A and B are true statements.
D. Ms. Scatty can be held civilly liable under the Securities Act of 1933.
Answer: D
Explanation:
Explanation/Reference:
Explanation: If Ms. Scatty forgets to give her buyer a prospectus when selling one of the funds, she can be held civilly liable under the Securities Act of 1933. Unless there was an intent to defraud, she is not subject to criminal penalties. The purchase and sale of mutual fund shares fall under the Securities Act of 1933.
NEW QUESTION: 4
Ms. Scatty is a registered representative with a well-known family of mutual funds. When selling one of the funds, she forgets to give her buyer a prospectus.
Which of the following statements is true?
A. Since mutual funds are not covered under the Securities Act of 1933, there is no liability in this instance.
B. Ms. Scatty can be held criminally liable under the Securities Act of 1933.
C. Both A and B are true statements.
D. Ms. Scatty can be held civilly liable under the Securities Act of 1933.
Answer: D
Explanation:
Explanation/Reference:
Explanation: If Ms. Scatty forgets to give her buyer a prospectus when selling one of the funds, she can be held civilly liable under the Securities Act of 1933. Unless there was an intent to defraud, she is not subject to criminal penalties. The purchase and sale of mutual fund shares fall under the Securities Act of 1933.
NEW QUESTION: 4
Ms. Scatty is a registered representative with a well-known family of mutual funds. When selling one of the funds, she forgets to give her buyer a prospectus.
Which of the following statements is true?
A. Since mutual funds are not covered under the Securities Act of 1933, there is no liability in this instance.
B. Ms. Scatty can be held criminally liable under the Securities Act of 1933.
C. Both A and B are true statements.
D. Ms. Scatty can be held civilly liable under the Securities Act of 1933.
Answer: D
Explanation:
Explanation/Reference:
Explanation: If Ms. Scatty forgets to give her buyer a prospectus when selling one of the funds, she can be held civilly liable under the Securities Act of 1933. Unless there was an intent to defraud, she is not subject to criminal penalties. The purchase and sale of mutual fund shares fall under the Securities Act of 1933.
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NEW QUESTION: 1
A company is given a 20 Mbps bandwidth guarantee provided over a FastEthernet connection by an ISP. Which QoS technology should be used to ensure that traffic conforms to the 20 Mbps contract?
A. LFI
B. CIR
C. burst protection
D. shaping
Answer: D
NEW QUESTION: 2
Which component is vital to an IBM Tivoli Storage Manager Database operations in addition to memory, database containers and archive log?
A. Recovery Log
B. Archive Log Mirror
C. Recovery Failover Log
D. Active Log
Answer: D
NEW QUESTION: 3
Simmons Shoes is considering a project with the following cash flows:
TimeProject Cash Flows ($)
0-700
1400
2-200
3600
4500
Simmons' WACC is 10 percent. What is the project's modified internal rate of return (MIRR)?
A. 29.52%
B. 17.10%
C. 28.93%
D. 18.26%
E. 25.28%
Answer: D
Explanation:
Explanation/Reference:
Explanation:
There are three steps to getting an MIRR:
1. Find PV of outflows:
-$700 + -$200/(1.1)
NEW QUESTION: 4
Ms. Scatty is a registered representative with a well-known family of mutual funds. When selling one of the funds, she forgets to give her buyer a prospectus.
Which of the following statements is true?
A. Since mutual funds are not covered under the Securities Act of 1933, there is no liability in this instance.
B. Ms. Scatty can be held criminally liable under the Securities Act of 1933.
C. Both A and B are true statements.
D. Ms. Scatty can be held civilly liable under the Securities Act of 1933.
Answer: D
Explanation:
Explanation/Reference:
Explanation: If Ms. Scatty forgets to give her buyer a prospectus when selling one of the funds, she can be held civilly liable under the Securities Act of 1933. Unless there was an intent to defraud, she is not subject to criminal penalties. The purchase and sale of mutual fund shares fall under the Securities Act of 1933.
Soaoj is offering 100% money back guarantee on 3 + $600(1.1) + $500 = $1,692.40.
3. Find MIRR:
N = 4
PV = -865.2893
PMT = 0
FV = 1,692.40
Solve for I = MIRR = 18.2593%.
NEW QUESTION: 4
Ms. Scatty is a registered representative with a well-known family of mutual funds. When selling one of the funds, she forgets to give her buyer a prospectus.
Which of the following statements is true?
A. Since mutual funds are not covered under the Securities Act of 1933, there is no liability in this instance.
B. Ms. Scatty can be held criminally liable under the Securities Act of 1933.
C. Both A and B are true statements.
D. Ms. Scatty can be held civilly liable under the Securities Act of 1933.
Answer: D
Explanation:
Explanation/Reference:
Explanation: If Ms. Scatty forgets to give her buyer a prospectus when selling one of the funds, she can be held civilly liable under the Securities Act of 1933. Unless there was an intent to defraud, she is not subject to criminal penalties. The purchase and sale of mutual fund shares fall under the Securities Act of 1933.
NEW QUESTION: 4
Ms. Scatty is a registered representative with a well-known family of mutual funds. When selling one of the funds, she forgets to give her buyer a prospectus.
Which of the following statements is true?
A. Since mutual funds are not covered under the Securities Act of 1933, there is no liability in this instance.
B. Ms. Scatty can be held criminally liable under the Securities Act of 1933.
C. Both A and B are true statements.
D. Ms. Scatty can be held civilly liable under the Securities Act of 1933.
Answer: D
Explanation:
Explanation/Reference:
Explanation: If Ms. Scatty forgets to give her buyer a prospectus when selling one of the funds, she can be held civilly liable under the Securities Act of 1933. Unless there was an intent to defraud, she is not subject to criminal penalties. The purchase and sale of mutual fund shares fall under the Securities Act of 1933.
NEW QUESTION: 4
Ms. Scatty is a registered representative with a well-known family of mutual funds. When selling one of the funds, she forgets to give her buyer a prospectus.
Which of the following statements is true?
A. Since mutual funds are not covered under the Securities Act of 1933, there is no liability in this instance.
B. Ms. Scatty can be held criminally liable under the Securities Act of 1933.
C. Both A and B are true statements.
D. Ms. Scatty can be held civilly liable under the Securities Act of 1933.
Answer: D
Explanation:
Explanation/Reference:
Explanation: If Ms. Scatty forgets to give her buyer a prospectus when selling one of the funds, she can be held civilly liable under the Securities Act of 1933. Unless there was an intent to defraud, she is not subject to criminal penalties. The purchase and sale of mutual fund shares fall under the Securities Act of 1933.
NEW QUESTION: 4
Ms. Scatty is a registered representative with a well-known family of mutual funds. When selling one of the funds, she forgets to give her buyer a prospectus.
Which of the following statements is true?
A. Since mutual funds are not covered under the Securities Act of 1933, there is no liability in this instance.
B. Ms. Scatty can be held criminally liable under the Securities Act of 1933.
C. Both A and B are true statements.
D. Ms. Scatty can be held civilly liable under the Securities Act of 1933.
Answer: D
Explanation:
Explanation/Reference:
Explanation: If Ms. Scatty forgets to give her buyer a prospectus when selling one of the funds, she can be held civilly liable under the Securities Act of 1933. Unless there was an intent to defraud, she is not subject to criminal penalties. The purchase and sale of mutual fund shares fall under the Securities Act of 1933.
