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S63 > Is the Investment a Security > Flashcards

Is the Investment a Security Flashcards

1
Q

Are Stocks (including treasury stock) considered a security?

A

Yes

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2
Q

Is the Instrument/Investment a Security? Notes, bonds, and debentures.

A

Yes

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3
Q

Is the Instrument/Investment a Security? Rights and warrants

A

Yes

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4
Q

Is the Instrument/Investment a Security? Investment Contracts

A

Yes

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5
Q

Is the Instrument/Investment a Security? Preorganization certificates

A

Yes

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6
Q

Is the Instrument/Investment a Security? Certificates of participation in any profit-sharing agreement

A

Yes

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7
Q

Is the Instrument/Investment a Security? Certificates of participation in an oil, gas, or mining lease.

A

Yes

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8
Q

Is the Instrument/Investment a Security? Investment company shares

A

Yes

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9
Q

Is the Instrument/Investment a Security? Limited partnerships

A

Yes

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10
Q

Is the Instrument/Investment a Security? Variable Annuity and Life Contracts

A

Yes

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11
Q

Is the Instrument/Investment a Security? Options

A

Yes

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12
Q

Is the Instrument/Investment a Security? Viatical investments

A

Yes

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13
Q

Is the Instrument/Investment a Security? Life Insurance

A

No

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14
Q

Is the Instrument/Investment a Security? Endowment Policies

A

No

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15
Q

Is the Instrument/Investment a Security? Fixed Annuities

A

No

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16
Q

Is the Instrument/Investment a Security? Commodities, collectibles, currencies, condominiums as a place of business or residence

A

No

17
Q

Refers to the purchase of an interest in an insurance policy covering an individual’s life.

A

Viaticals.
Viatical investors must either be accredited investors (according to Regulation D) or meet one of the following two
standards:
*Minimum net worth of at least $150,000 (not including their residence) and an annual income of $100,000, or
*Minimum net worth of at least $250,000 (not including their residence)

Viaticals:
*Investments are speculative and highly risky
*Great likelihood of fraud since due to the difficulty of predicting when a person will die

18
Q

True or False: The effective date is granted by the Administrator and represents the date on which the securities can be sold publicly.

A

True

19
Q

A security’s registration expires one year after its effective date.

A

True

S63 (19 decks)

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