Business, 11.11.2019 21:31 oliviasoreo92
The brother-in-law of an agent of a broker-dealer has asked the agent if he will be willing to offer his clients shares of a private placement in a brand new company the brother-in-law is starting. the agent would earn substantial commissions from the sale of the shares. under nasaa regulations, which of the following would be required by the broker-dealer and/or agent?
[a] the broker-dealer must establish a separate business entity to handle these transactions of the agent.[b] the agent is required to get written authorization of their broker-dealer prior to executing any transactions in the private placement.[c] the broker-dealer and agent must inform clients that the broker-dealer will assume no responsibility for the transactions in the private placement.[d] the agent of the broker-dealer is never allowed to participate in such transactions.
Answers: 1
Business, 22.06.2019 15:30
In 2015, lori assigned a paid-up whole life insurance policy to an irrevocable life insurance trust (ilit) for the benefit of her three children. the ilit contained a crummey provision for the benefit of each child. at the time of the transfer, the whole life insurance policy was valued at $200,000, and since lori had not made any other taxable gifts during her lifetime, she did not owe any gift tax. lori died in 2016, and the face value of the whole life insurance policy of $2,000,000 was paid to the ilit. regarding this transfer, how much is included in lori’s gross estate at her death?
Answers: 1
Business, 22.06.2019 20:20
You are the cfo of a u.s. firm whose wholly owned subsidiary in mexico manufactures component parts for your u.s. assembly operations. the subsidiary has been financed by bank borrowings in the united states. one of your analysts told you that the mexican peso is expected to depreciate by 30 percent against the dollar on the foreign exchange markets over the next year. what actions, if any, should you take
Answers: 2
Business, 22.06.2019 22:00
As a general rule, when accountants calculate profit they account for explicit costs but usually ignorea. certain outlays of money by the firm.b. implicit costs.c. operating costs.d. fixed costs.
Answers: 2
Business, 23.06.2019 13:30
There are four record classifications. choose the two types of records that are never destroyed. a. vital and essential b. vital and important c. inactive and vital d. important and digitized
Answers: 2
The brother-in-law of an agent of a broker-dealer has asked the agent if he will be willing to offer...
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