Quiz-summary
0 of 11 questions completed
Questions:
- 1
- 2
- 3
- 4
- 5
- 6
- 7
- 8
- 9
- 10
- 11
Information
certdemy practice questions
You have already completed the quiz before. Hence you can not start it again.
Quiz is loading...
You must sign in or sign up to start the quiz.
You have to finish following quiz, to start this quiz:
Results
0 of 11 questions answered correctly
Your time:
Time has elapsed
You have reached 0 of 0 points, (0)
Categories
- Not categorized 0%
- 1
- 2
- 3
- 4
- 5
- 6
- 7
- 8
- 9
- 10
- 11
- Answered
- Review
-
Question 1 of 11
1. Question
Regarding Acquisitions and Conversions to Prevent Dilution, what if the securities were acquired as the result of a right of preemption that was granted in connection with securities that were purchased in?
Correct
5110. Corporate Financing Rule — Underwriting Terms and Arrangements
Underwriting Compensation and Arrangements: Exceptions From Underwriting Compensation
Acquisitions and Conversions to Prevent Dilution — Securities of the issuer if: the securities were acquired as the result of: a right of preemption that was granted in connection with securities that were purchased either:
1. in a private placement and the securities are not deemed by FINRA to be underwriting compensation; or
2. from a public offering or the public market;Incorrect
5110. Corporate Financing Rule — Underwriting Terms and Arrangements
Underwriting Compensation and Arrangements: Exceptions From Underwriting Compensation
Acquisitions and Conversions to Prevent Dilution — Securities of the issuer if: the securities were acquired as the result of: a right of preemption that was granted in connection with securities that were purchased either:
1. in a private placement and the securities are not deemed by FINRA to be underwriting compensation; or
2. from a public offering or the public market; -
Question 2 of 11
2. Question
Regarding Acquisitions and Conversions to Prevent Dilution, how long is it acquired for a stock-split or a pro-rata rights or similar offering where the securities upon which the acquisition is based?
Correct
5110. Corporate Financing Rule — Underwriting Terms and Arrangements
Underwriting Compensation and Arrangements: Exceptions From Underwriting Compensation
Acquisitions and Conversions to Prevent Dilution — Securities of the issuer if: the securities were acquired as the result of: a stock-split or a pro-rata rights or similar offering where the securities upon which the acquisition is based were acquired more than 180 days before the required filing date of the public offering.Incorrect
5110. Corporate Financing Rule — Underwriting Terms and Arrangements
Underwriting Compensation and Arrangements: Exceptions From Underwriting Compensation
Acquisitions and Conversions to Prevent Dilution — Securities of the issuer if: the securities were acquired as the result of: a stock-split or a pro-rata rights or similar offering where the securities upon which the acquisition is based were acquired more than 180 days before the required filing date of the public offering. -
Question 3 of 11
3. Question
Which of the following statement(s) is/are untrue regarding acquisitions and conversions to prevent dilution?
Correct
5110. Corporate Financing Rule — Underwriting Terms and Arrangements
Underwriting Compensation and Arrangements: Exceptions From Underwriting Compensation
Acquisitions and Conversions to Prevent Dilution — Securities of the issuer if: the securities were acquired as the result of: the conversion of securities that have not been deemed by FINRA to be underwriting compensation.Incorrect
5110. Corporate Financing Rule — Underwriting Terms and Arrangements
Underwriting Compensation and Arrangements: Exceptions From Underwriting Compensation
Acquisitions and Conversions to Prevent Dilution — Securities of the issuer if: the securities were acquired as the result of: the conversion of securities that have not been deemed by FINRA to be underwriting compensation. -
Question 4 of 11
4. Question
What is/are the only terms of the purchased securities that are different from the terms of securities purchased by other investors?
Correct
5110. Corporate Financing Rule — Underwriting Terms and Arrangements
Underwriting Compensation and Arrangements: Exceptions From Underwriting Compensation
Acquisitions and Conversions to Prevent Dilution — Securities of the issuer if: the only terms of the purchased securities that are different from the terms of securities purchased by other investors are pre-existing contractual rights that were granted in connection with a prior purchase;Incorrect
5110. Corporate Financing Rule — Underwriting Terms and Arrangements
Underwriting Compensation and Arrangements: Exceptions From Underwriting Compensation
Acquisitions and Conversions to Prevent Dilution — Securities of the issuer if: the only terms of the purchased securities that are different from the terms of securities purchased by other investors are pre-existing contractual rights that were granted in connection with a prior purchase; -
Question 5 of 11
5. Question
Regarding Acquisitions and Conversions to Prevent Dilution, which of the following statement(s) is/are true?
Correct
5110. Corporate Financing Rule — Underwriting Terms and Arrangements
Underwriting Compensation and Arrangements: Exceptions From Underwriting Compensation
Acquisitions and Conversions to Prevent Dilution — Securities of the issuer if: the opportunity to purchase in a rights offering or pursuant to a right of preemption, or to receive additional securities as the result of a stock-split or conversion was provided to all similarly situated security holders;Incorrect
5110. Corporate Financing Rule — Underwriting Terms and Arrangements
Underwriting Compensation and Arrangements: Exceptions From Underwriting Compensation
Acquisitions and Conversions to Prevent Dilution — Securities of the issuer if: the opportunity to purchase in a rights offering or pursuant to a right of preemption, or to receive additional securities as the result of a stock-split or conversion was provided to all similarly situated security holders; -
Question 6 of 11
6. Question
Regarding Acquisitions and Conversions to Prevent Dilution — Securities of the issuer if: which of the following statement(s) is true?
Correct
5110. Corporate Financing Rule — Underwriting Terms and Arrangements
Underwriting Compensation and Arrangements: Exceptions From Underwriting Compensation
Acquisitions and Conversions to Prevent Dilution — Securities of the issuer if: the amount of securities purchased or received did not increase the recipient’s percentage ownership of the same generic class of securities of the issuer or of the class of securities underlying a convertible security calculated immediately prior to the investment, except in the case of conversions and passive increases that result from another investor’s failure to exercise its own rights.Incorrect
5110. Corporate Financing Rule — Underwriting Terms and Arrangements
Underwriting Compensation and Arrangements: Exceptions From Underwriting Compensation
Acquisitions and Conversions to Prevent Dilution — Securities of the issuer if: the amount of securities purchased or received did not increase the recipient’s percentage ownership of the same generic class of securities of the issuer or of the class of securities underlying a convertible security calculated immediately prior to the investment, except in the case of conversions and passive increases that result from another investor’s failure to exercise its own rights. -
Question 7 of 11
7. Question
Regarding Acquisitions and Conversions to Prevent Dilution, which of the following statement(s) is/are untrue?
Correct
5110. Corporate Financing Rule — Underwriting Terms and Arrangements
Underwriting Compensation and Arrangements: Exceptions From Underwriting Compensation
Acquisitions and Conversions to Prevent Dilution — Securities of the issuer if:
(i) the securities were acquired as the result of:
a. a right of preemption that was granted in connection with securities that were purchased
b. a stock-split or a pro-rata rights or similar offering where the securities upon which the acquisition is based were acquired more than 180 days before the required filing date of the public offering
(ii) the only terms of the purchased securities that are different from the terms of securities purchased by other investors are pre-existing contractual rights that were granted in connection with a prior purchase;
(iii) the opportunity to purchase in a rights offering or pursuant to a right of preemption, or to receive additional securities as the result of a stock-split or conversion was provided to all similarly situated security holders; and
(iv) the amount of securities purchased or received did not increase the recipient’s percentage ownership of the same generic class of securities of the issuer or of the class of securities underlying a convertible security calculated immediately prior to the investment, except in the case of conversions and passive increases that result from another investor’s failure to exercise its own rights.Incorrect
5110. Corporate Financing Rule — Underwriting Terms and Arrangements
Underwriting Compensation and Arrangements: Exceptions From Underwriting Compensation
Acquisitions and Conversions to Prevent Dilution — Securities of the issuer if:
(i) the securities were acquired as the result of:
a. a right of preemption that was granted in connection with securities that were purchased
b. a stock-split or a pro-rata rights or similar offering where the securities upon which the acquisition is based were acquired more than 180 days before the required filing date of the public offering
(ii) the only terms of the purchased securities that are different from the terms of securities purchased by other investors are pre-existing contractual rights that were granted in connection with a prior purchase;
(iii) the opportunity to purchase in a rights offering or pursuant to a right of preemption, or to receive additional securities as the result of a stock-split or conversion was provided to all similarly situated security holders; and
(iv) the amount of securities purchased or received did not increase the recipient’s percentage ownership of the same generic class of securities of the issuer or of the class of securities underlying a convertible security calculated immediately prior to the investment, except in the case of conversions and passive increases that result from another investor’s failure to exercise its own rights. -
Question 8 of 11
8. Question
Regarding Purchases Based On A Prior Investment History, what happen when the the amount of securities purchased?
Correct
5110. Corporate Financing Rule — Underwriting Terms and Arrangements
Underwriting Compensation and Arrangements: Exceptions From Underwriting Compensation
Purchases Based On A Prior Investment History — Purchases of securities of the issuer if:
(i) the amount of securities purchased did not increase the purchaser’s percentage ownership of the same generic class of securities of the issuer or of the class of securities underlying a convertible security calculated immediately prior to the investment;Incorrect
5110. Corporate Financing Rule — Underwriting Terms and Arrangements
Underwriting Compensation and Arrangements: Exceptions From Underwriting Compensation
Purchases Based On A Prior Investment History — Purchases of securities of the issuer if:
(i) the amount of securities purchased did not increase the purchaser’s percentage ownership of the same generic class of securities of the issuer or of the class of securities underlying a convertible security calculated immediately prior to the investment; -
Question 9 of 11
9. Question
Regarding Purchases Based On A Prior Investment History, what is the tenure of an initial purchase of securities of the issuer?
Correct
5110. Corporate Financing Rule — Underwriting Terms and Arrangements
Underwriting Compensation and Arrangements: Exceptions From Underwriting Compensation
Purchases Based On A Prior Investment History — Purchases of securities of the issuer if:
An initial purchase of securities of the issuer was made at least two years and a second purchase was made more than 180 days before the required filing date of the public offeringIncorrect
5110. Corporate Financing Rule — Underwriting Terms and Arrangements
Underwriting Compensation and Arrangements: Exceptions From Underwriting Compensation
Purchases Based On A Prior Investment History — Purchases of securities of the issuer if:
An initial purchase of securities of the issuer was made at least two years and a second purchase was made more than 180 days before the required filing date of the public offering -
Question 10 of 11
10. Question
Regarding Purchases Based On A Prior Investment History, how many days for a second purchase was made before the required filing date of the public offering?
Correct
5110. Corporate Financing Rule — Underwriting Terms and Arrangements
Underwriting Compensation and Arrangements: Exceptions From Underwriting Compensation
Purchases Based On A Prior Investment History — Purchases of securities of the issuer if: an initial purchase of securities of the issuer was made at least two years and a second purchase was made more than 180 days before the required filing date of the public offeringIncorrect
5110. Corporate Financing Rule — Underwriting Terms and Arrangements
Underwriting Compensation and Arrangements: Exceptions From Underwriting Compensation
Purchases Based On A Prior Investment History — Purchases of securities of the issuer if: an initial purchase of securities of the issuer was made at least two years and a second purchase was made more than 180 days before the required filing date of the public offering -
Question 11 of 11
11. Question
fgdftg
Correct
Incorrect