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Series6 - NASD Series 6 - Dump Information

Vendor : Business-Tests
Exam Code : Series6
Exam Name : NASD Series 6
Questions and Answers : 200 Q & A
Updated On : October 22, 2018
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Series6 Questions and Answers

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Series6 NASD Series 6

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Series6 exam Dumps Source : NASD Series 6

Test Code : Series6
Test Name : NASD Series 6
Vendor Name : Business-Tests
Q&A : 200 Real Questions

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Never suspected that the issues that I had dependably fled from could be such a outstanding quantity of enjoyable to look at; its simple and short method for purchasing to the focuses made my planning component much less disturbing and assist me in getting 89% marks. All due to killexams.Com dumps, I in no way concept I would skip my exam but I did finish decisively. I turned into going to give up examination Series6 when you consider that I wasnt wonderful approximately whether I could pass or no longer. With virtually every week staying I chose to interchange to Dumps for my examination making plans.


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Business-Tests Business-Tests NASD Series 6

Telemedicine enterprise assessments Google Glass with first responders and ERs for acute care | killexams.com Real Questions and Pass4sure dumps

Healthbox accelerator grad Third Eye health sees an untapped marketplace for Google Glass in healthcare: enhancing acute care through dashing up the manner EMTs and ER physicians talk with each and every different. In an interview with MedCity information, Third Eye fitness founder and CEO Daniel Herbstman illustrated one of the use instances for its platform being piloted through sanatorium partners.

For the Chicago-primarily based, Glass at Work accomplice, telestroke tops the listing of its purposes. Physicians race towards the clock to diagnose and deal with sufferers who've suffered a stroke so they can provide them the relevant remedy earlier than brain damage takes hang. The skill for a health care provider to join with a neurologist from a patient’s bedside in an ER or patient’s room is a connection that a number of telemedicine groups have developed. but what if first responders like paramedics had that know-how and will connect with neurologists via audio or video and transmit records earlier than they reach the clinic to assess the patient’s situation? Herbstman sees this strategy as a means to diagnose sufferers prior.

several corporations have developed equipment to support telestroke, mainly robotic carts equipped with displays that may circulate to patients’ bedside. however Herbstman sees this strategy as awkward and clumsy.  The first-rate thing about Google Glass is that it offers consulting physicians the equal point of view as the person standing by using the patient.

4 hospitals are piloting Third Eye health’s platform, including institution of Texas fitness Science core. it is doing a 200 affected person examine to consider its technology through a cell stroke ambulance. Herbstman mentioned it expects to have records from these stories later this year.

other than telestroke, Herbstman talked about it wants to extend its platform for telemedicine into other acute care areas, equivalent to trauma and, ultimately, heart assaults.

The enterprise is at present raising $400,000 to make its telestroke platform, support product building and broaden its consumer base. up to now, angels have offered funding, and it's in talks with Healthbox for observe on funding.

Herbstman has worked in the healthcare industry for most of his profession. besides the fact that children he started in scientific instruments, he most recently worked at Haemonetics — a blood administration business.

Pristine.io, Augmedix and Wearable Intelligence have thus far attracted essentially the most investment for sensible glass groups within the telemedicine house. Herbstman argues that its product is extra most economical than what these businesses offer. As telemedicine compensation steadily improves, he anticipates a becoming urge for food to make use of telemedicine to carry look after acute situations quicker.

MedCity have interaction is an government-degree event that gathers main hospitals, health systems, payers, buyers and the most ingenious startups to center of attention on the way forward for patient engagement. MedCity have interaction takes region held November 6-7, 2018 in San Diego. Reserve your region.


here are the a number of aspects of Mauritius tax treaty | killexams.com Real Questions and Pass4sure dumps

After years of effort, India has managed to renegotiate its tax treaty with Mauritius, marking a daring step via the executive to firmly shut the door on a pact that may have charge the country lots by means of income. ET takes a look back on the accord that’s greater than three many years historical.

WHY traders got here by way of MAURITIUS: If a company resident in Mauritius buys shares in an Indian enterprise… Any capital positive factors made on sale will be taxed handiest in Mauritius Mauritius does not impose capital positive aspects tax on offshore groups This capability no capital gains tax is paid on Mauritiusrouted investments This has been known as ‘double non-taxation’Here are the various facets of Mauritius tax treaty

WHAT turned into THE large fret: round tripping as a substitute of direct funding, Indian funds going out and being invested via Mauritius India denied taxes that it should have received.

Treaty searching Third-nation investors establishing shell agencies in Mauritius to benefit advantages No real presence in Mauritius.

Discriminatory to native investors native buyers pay tax but international ones don’t on account of the treaty.

identity of traders no longer general The Mauritius route allowed buyers to cover behind corporate buildings.

KEY adjustments within the TREATY: Capital good points on profits to be taxed India gets right to tax capital good points made by way of investors on shares of Indian agencies

Phased rollout No tax on investment made before by March 2017 Shares purchased on or after April 1, 2017.50% of relevant tax if sold between April 2017 and March 2019 Full tax rate utilized if sold after April 2019.

No tax on different gadgets the new regime applies to simplest income made on shares Debentures, mutual funds, derivatives and convertibles now not lined.Grandfathering benefit investment made before April 1, 2017, will get full advantage of capital positive factors exemption.

lessen pastime income Mauritius banks to pay 7.5% interest on debt funding after March 31, 2017.hobby on prior loans exempted from tax. hassle of advantage.

Investor has to flow ‘main purpose’ and ‘bona fide company’ assessments Such buyers eligible for lower transition tax for 2 years company spending under Rs 27 lakh in 12 months may be considered shell business.

Sourced-based taxation other incomes could be based on supply from the place derived

WHAT DOES IT mean FOR US: possibility for India to clean its capital good points tax policy

Mauritius tax treaty that gave large advantages to foreign buyers denied India flexibility in taxing capital positive factors domestic and overseas traders on par, the executive now gets room precise FDI a great deal OF MAURITIUS FDI was believed to be Indian funds. With the loophole closed, there will be a clearer photo on remote places investment end of misunderstanding MAURITIUS ROUTE HAS been beneath an awful lot dispute and subject of speculation. That comes to conclusion India gets extra tax .

foreign traders GETTING away untaxed will must beginning paying tax in India


utility of "safety-based mostly Swap broker" and "most important security-primarily based Swap Participant" Definitions to move-Border security-based mostly Swap actions | killexams.com Real Questions and Pass4sure dumps

No result found, try new key phrase!These rules and assistance in enormous part focus on the utility of the Title VII definitions of "safety-primarily based swap broking" and "foremost protection-primarily based swap participant" in the pass-border context. Th...

Series6 NASD Series 6

Study Guide Prepared by Killexams.com Business-Tests Dumps Experts


Killexams.com Series6 Dumps and Real Questions

100% Real Questions - Exam Pass Guarantee with High Marks - Just Memorize the Answers



Series6 exam Dumps Source : NASD Series 6

Test Code : Series6
Test Name : NASD Series 6
Vendor Name : Business-Tests
Q&A : 200 Real Questions

located maximum Series6 Questions in latest dumps that I organized.
I handed the Series6 examination final week and absolutely depended on this unload from killexams.com for my guidance. this is a extremely good way to get licensed as someway the questions come from the actual pool of exam questions utilized by supplier. This manner, nearly all questions I were given on the exam regarded familiar, and that i knew solutions to them. that is very dependable and truthful, specially given their money again guarantee (ive a chum who by hook or by crook failed an Architect stage exam and got his money lower back, so that is for real).


actual Series6 exam inquiries to skip at the beginning attempt.
each subject matter and vicinity, each state of affairs, killexams.com Series6 materials have been exquisite help for me even asgetting ready for this examination and actually doing it! i used to be anxious, but going again to this Series6 Q&A and questioning that I know the whole lot due to the fact the Series6 exam was very clean after the killexams.com stuff, I got an excellent end result. Now, doing the following degree of Business-Tests certifications.


It modified into first revel in but tremendous enjoy!
Never suspected that the issues that I had dependably fled from could be such a outstanding quantity of enjoyable to look at; its simple and short method for purchasing to the focuses made my planning component much less disturbing and assist me in getting 89% marks. All due to killexams.Com dumps, I in no way concept I would skip my exam but I did finish decisively. I turned into going to give up examination Series6 when you consider that I wasnt wonderful approximately whether I could pass or no longer. With virtually every week staying I chose to interchange to Dumps for my examination making plans.


I got Series6 licensed in 2 days coaching.
The satisfactory component approximately your query bank is the reasons supplied with the solutions. It facilitates to apprehend the subject conceptually. I had subscribed for the Series6 query financial institution and had gone through it three-4 instances. In the examination, I tried all of the questions under forty mins and scored ninety marks. Thanks for making it smooth for us. Hearty way to killexams.Com group, with the assist of your version questions.


Get those Series6 Q&A, prepare and chillout!
Wow..OMG, I simply passed my Series6 cert with ninety seven percentage rating i was unsure on how correct the examine cloth turned into. I practiced with your on-line test simulator, and studied the material and after taking the test i used to be glad i discovered you guys on the internet, YAHOO!! thanks Very an awful lot! Philippines


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I moreover had a splendid revel in with this training set, which led me to passing the Series6 exam with over ninety eight%. The questions are real and valid, and the checking out engine is a tremendous/guidance device, despite the fact that youre no longer planning on taking the examination and sincerely want to expand your horizons and enlarge your knowledge. Ive given mine to a pal, who also works on this place but clearly received her CCNA. What I imply is its a splendid reading device for absolutely everyone. And if you plan to take the Series6 exam, this is a stairway to achievement :)


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Clearing Series6 checks turned into for all intents and purpose unrealistic for the benefit of me. The check factors have been without a doubt excessive for me to recognize. however they illuminated my downside. I illuminated the ninety inquiries out of a hundred Questions correctly. by way of basically pertaining to the observe manual in mind unload, i used to be organized to look the subject matters nicely. additionally the superb exam simulator like killexams.com Series6 With success cleared this check. I provide gratitude killexams.com for serving the incredible administrations. an awful lot favored.


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NASD Series 6

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SEC and FINRA Target Cryptocurrency Hedge Fund Manager and Broker-Dealers in New Wave of Digital Asset Enforcement Proceedings | killexams.com real questions and Pass4sure dumps

Perkins Coie

In a flurry of enforcement activity in the digital asset space, the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA), a self-regulatory organization for broker-dealers, announced three new enforcement actions addressing digital asset practices last month: In the Matter of Crypto Asset Management, LP and Timothy Enneking; In the Matter of TokenLot, LLC, Lenny Kugel, and Eli L. Lewitt; and Department of Enforcement v. Timothy Tilton Ayre. These actions are consistent with the warning shots the SEC fired in the 2017 DAO Report[1] and subsequent enforcement actions regarding the need for offers and sales of tokenized securities to comply with the federal securities laws.

As Stephanie Avakian, Co-Director of the SEC’s Enforcement Division stated in the press release concerning TokenLot, the “U.S. securities laws protect investors by subjecting broker-dealers and other gatekeepers to SEC oversight, including those offering ICOs and secondary trading in digital tokens . . . [and the SEC] continue[s] to encourage those developing digital asset trading businesses to contact the SEC staff . . . for assistance in analyzing registration and other securities law requirements.”

This update summarizes each case and the lessons to be drawn from them. As explained in more detail below, key takeaways include the following:

  • Private funds investing in digital assets are not immune from SEC scrutiny
  • Token trading platforms need to register as broker-dealers if they trade digital assets that are “securities”
  • Companies facing SEC enforcement actions in the digital asset space may be required to undertake novel obligations, such as hiring independent entities to take possession of and destroy digital assets
  • Taking prompt action may help mitigate penalties
  • In the Matter of Crypto Asset Management, LP

    In its first-ever enforcement action finding a violation of the registration provisions of the Investment Company Act of 1940 (the 1940 Act) by a hedge fund manager based on its investments in digital assets, the SEC found that Crypto Asset Management, LP (CAM or the Manager) offered a fund, the Crypto Asset Fund, LLC (the Fund), that operated as an unregistered investment company while falsely marketing it as the “first regulated crypto asset fund in the United States.”

    According to the SEC, CAM, a California-based hedge fund manager, and its sole principal, Timothy Enneking, raised more than $3.6 million over a four-month period in late 2017 while falsely claiming that the fund was regulated by the SEC and had filed a registration statement with the agency. By engaging in an unregistered, non-exempt public offering and investing more than 40 percent of the Fund’s assets in digital asset securities, the SEC said that CAM caused the Fund to operate as an unregistered investment company. The SEC also found that CAM and Enneking had no pre-existing relationships with numerous investors in the Fund and engaged in “general solicitation” of investors through the Manager’s website, social media and interviews with traditional media outlets. CAM did not register the Fund with the SEC under the 1940 Act, nor did it qualify for an exemption from registration.

    After being contacted by the SEC staff, the Manager immediately halted the offering of the Fund and undertook a review of the Manager’s website, marketing materials and offering procedures. In addition, the Manager verified the accredited status of investors who invested in the Fund. Further, the Manager made a rescission offering to each of those investors and, as part of the recession offer, disclosed previous misstatements to investors and prospective investors. Although these steps were taken immediately, the SEC censured the Manager and Enneking and, as a part of their settlement with the SEC, ordered that they jointly and severally pay a $200,000 civil money penalty. In a press release, C. Dabney O’Riordan, Co-Chief of the SEC’s Enforcement Asset Management Unit, stated that “[h]edge funds seeking to ride the digital asset wave continue to proliferate . . . investment advisers must be sure that the funds they offer adhere to the applicable registration obligations and must accurately represent their funds’ regulatory status to investors.”

    In the Matter of TokenLot

    In the SEC’s first case charging an unregistered broker-dealer for selling digital securities post-DAO Report, the SEC announced that TokenLot, LLC, a self-described “ICO Superstore,” and its owners settled charges that they acted as unregistered broker-dealers.

    According to the SEC, Michigan-based TokenLot and its owners and operators, Lenny Kugel and Eli L. Lewitt, promoted TokenLot’s website as a way to purchase digital tokens during initial coin offerings (ICOs) and also to engage in secondary trading. TokenLot received orders from more than 6,100 retail investors and handled more than 200 different digital tokens, which the SEC found included securities. TokenLot, Kugel, and Lewitt earned “transaction-based compensation” of approximately $112,000 based upon the percentage of the proceeds raised in the ICOs they handled, subject to a guaranteed minimum commission. While the SEC concluded that TokenLot “advertised and sold securities, in the form of digital tokens,” it did not specify which digital assets it was referring to, nor did it analyze why the tokens were securities.

    The SEC found that the activities required TokenLot, Kugel, and Lewitt to be registered with the SEC as broker-dealers, which they were not. In response to the SEC’s investigation, TokenLot voluntarily began winding down and refunding investors’ payments for unfilled orders. TokenLot, Kugel, and Lewitt were charged with violating the securities registration provisions under Section 15(a) of the Securities Exchange Act and Sections 5(a) and (c) of the Securities Act in connection with their conduct. In an accompanying press release, Steven Peikin, Co-Director of the SEC’s Enforcement Division, noted that “[t]he penalties in this case reflect the prompt cooperation and remedial actions by TokenLot, Kugel, and Lewitt, . . . [who] provided valuable information to Commission staff, stopped the conduct, and refunded money to investors.”

    TokenLot, Kugel, and Lewitt agreed to pay $471,000 in disgorgement plus $7,929 in interest. Further, in an unusual step, they will retain an independent third party to inventory and destroy TokenLot’s remaining digital assets;[2] however, the SEC did not specify whether this includes destroying digital assets such as Bitcoin and Ether (which are not securities, according to the SEC). Kugel and Lewitt also agreed to pay penalties of $45,000 each and agreed to industry and penny stock bars with the right to reapply after three years. During this period, they are also prohibited from working with registered investment companies.

    FINRA Department of Enforcement v. Timothy Tilton Ayre

    On the same day that the SEC announced its two crypto-related enforcement actions, FINRA filed a regulatory enforcement complaint against Timothy Tilton Ayre, charging him with securities fraud and the unlawful distribution of an unregistered cryptocurrency security called HempCoin. This case is FINRA’s first disciplinary action involving cryptocurrencies.

    FINRA alleges that, from January 2013 through October 2016, Ayre attempted to lure public investment in his worthless public company, Rocky Mountain Ayre, Inc. (RMTN) by issuing and selling HempCoin—which he publicized as “the first minable coin backed by marketable securities”—and by making fraudulent, positive statements about RMTN’s business and finances. FINRA also alleged that in June 2015, Ayre bought the rights to HempCoin and repackaged it as a security backed by RMTN common stock. Ayre marketed HempCoin as “the world’s first currency to represent equity ownership” in a publicly traded company and promised investors that each coin was equivalent to 0.10 shares of RMTN common stock. Investors mined more than 81 million HempCoin securities through late 2017 and bought and sold the security on two cryptocurrency exchanges. FINRA charged Ayre with the unlawful distribution of an unregistered security because he never registered HempCoin and no exemption to registration applied. In addition, FINRA alleged that, from January 2013 through October 2016, Ayre defrauded investors in RMTN by making materially false statements and omissions regarding the nature of RMTN’s business, failing to disclose his creation and unlawful distribution of HempCoin, and making multiple false and misleading statements in RMTN’s financial statements. In the end, this action is less about the applicability of securities laws to tokenized assets and more about the alleged conduct of the principal involved.

    Key Takeaways and Considerations

    Private Funds Investing in Digital Assets Are Not Immune From SEC Scrutiny. The SEC’s action against CAM demonstrates that managers of private funds investing in digital assets are not outside the purview of the federal securities law and the SEC. A manager should carefully consider how federal and state securities laws apply to a fund, to the digital assets being traded by the fund and to the manager, and recognize that a fund may need to rely on multiple exemptions from registration under different statutes. Considerations for funds and managers include:

  • Does the fund need to register with the SEC or can it rely on an applicable exemption (e.g., Rule 506(b), Sections 3(c)(1) or 3(c)(7), etc.)?[3]
  • Does the manager or sponsor of the fund meet the definition of “investment adviser”?[4] If so, is it required to register with the SEC or a state?[5] Is there an exemption the manager can rely on (e.g., Exempt Reporting Adviser)?[6]
  • Are the digital assets the fund invests in “securities” under federal and state law?[7] Does the manager have a procedure in place to evaluate each investment to determine whether it is a security under federal and state law?
  • Has the fund or the fund’s manager made any applicable filings (e.g., Form D, Form ADV, etc.)?
  • Does the manager’s website openly discuss and offer the fund (i.e., general solicitation)? Has the manager or anyone associated with the fund made any untrue or misleading statements, either on the fund’s website, on social media or during a conference? Has the manager or anyone associated with the fund made any public statements about the fund that could be considered “general solicitation”?
  • Token Trading Platforms. The SEC’s action against TokenLot was its first enforcement action against a token-trading platform, as well as its first action against an unregistered broker-dealer. Coupled with FINRA’s complaint against Ayre, the actions demonstrate the risks that exist when digital assets are deemed to be securities. In particular, any token-trading platform or token trader that earns transaction-based compensation, which includes success fees, commissions or any fee contingent on the outcome, can be found to be a broker-dealer. Like the investment funds discussed above, broker-dealers must register with the SEC or qualify for an applicable exemption. Therefore, if there is a risk that the respective digital assets are securities, it is critical for any token-trading platform or token trader to evaluate whether broker-dealer registration is required. Considerations include:

  • What is the compensation structure for the token trading platform or token trader? Does it earn a flat fee? Or does it earn transaction-based income (e.g., a commission)?
  • Does it qualify for one of the applicable exemptions from broker-dealer registration?
  • If it must register as a broker-dealer, has it made any necessary filings (e.g., Form BD) or registered with FINRA to become a member? Do the relevant managers and/or employees have the necessary series qualifications (e.g., Series 7, Series 65, Series 66, etc.)?
  • Some Digital Tokens Are “Securities.” In both SEC actions, the SEC determined that at least some of the digital tokens involved were securities. In the TokenLot Order, the SEC noted that investors could pay “for the digital tokens using other digital assets, such as Bitcoin and Ether,” and that the digital tokens that TokenLot “promoted and sold . . . included securities.” In the Crypto Asset Management Order, the SEC also found that the Fund invested in, held and traded “certain digital assets that were investment securities.” In neither case, however, did the SEC identify which tokens were securities or provide any analysis about why those digital assets were securities. Although the SEC did not announce any actions with respect to the digital tokens themselves, it must be considered whether the SEC is pursuing actions against the creators of the individual tokens that were traded by TokenLot and deemed to be securities.

    Unprecedented and Novel Steps by Regulators. As the SEC continues enforcement efforts against companies associated with unregistered offerings, companies may be required to undertake novel obligations on top of any penalties imposed, such as hiring independent entities at the company’s expense to take possession of and destroy digital assets like in the TokenLot Order.

    Taking Prompt Action May Help Mitigate Penalties. Both SEC actions acknowledged the parties’ prompt remedial actions. The TokenLot Order even stressed that the remedial actions were factors in the commission deciding not to impose greater penalties. Thus, companies in the digital asset space and their counsel should consider prompt remedial action when issues are identified and certainly if contacted by the SEC.

    Token Trading Platforms Acquiring Registered Broker-Dealers. The SEC and FINRA’s enforcement actions against broker-dealers come in the wake of several digital asset trading platforms taking affirmative actions in 2018 to comply with broker-dealer laws and regulations. As reported by Bloomberg and other news sources, several platforms are either registering as broker-dealers themselves or have recently acquired existing broker-dealer firms that are already registered as broker-dealers and ATSs. As demonstrated by the TokenLot and Ayre enforcement actions, such developments may reduce regulatory risk for those who wish to host token trading platforms or generally enter the business of trading digital assets while increasing opportunity for new business products.

    Conclusion

    The SEC and FINRA actions are noteworthy developments in the regulation of digital assets even though they did not provide clarity on whether any given digital asset is a security. The actions demonstrated the regulators’ willingness to enforce securities laws against various types of actors involved in the buying and selling of digital assets. Private fund managers and private funds that invest in digital assets may face consequences for failing to comply with registration requirements. Moreover, the SEC showed its willingness to forge new remedies in the digital asset context by requiring TokenLot to hire an independent intermediary to take possession of and destroy its tokens. The SEC actions also illustrate how companies that take prompt remedial action when contacted by the SEC may reduce the severity of the sanctions they receive.

    ENDNOTES

    [1] In the DAO Report, the SEC determined the DAO tokens were “securities” under the Securities Act of 1933 (Securities Act) after applying the Howey Test to evaluate whether the tokens were an investment contract and thus a “security.” The DAO Report thus confirmed the long-standing analytical framework used to gauge whether a digital coin or token is a “security.” The following post on the Virtual Currency Report provides more detailed information on the DAO Report and its implications for market participants. J. Dax Hansen, et al., Blockchain and Digital Token Update: SEC Releases Investigative Report and Investor Bulletin, Virtual Currency Report (July 26, 2017), https://www.virtualcurrencyreport.com/2017/07/blockchain-and-digital-token-update-sec-releases-investigative-report-and-investor-bulletin/.

    [2] Normally, the SEC does not destroy property, but there are a number of government regulations that permit the destruction of property to avoid a “danger,” and “danger” is broadly interpreted and can include a swindle.

    [3] Generally, the Securities Act requires the offer and sale of securities must either be registered with the SEC or comply with an applicable exemption from registration. Sponsors of private funds typically avoid registration and offer their securities pursuant to the private placement exemption under Rule 506(b) of Regulation D, which prohibits any form of general solicitation or general advertising to market the fund interests. A fund that engages primarily in investing, reinvesting and trading in securities, and whose own securities are offered to the investing public must either register with the SEC as an “investment company” or qualify for an exemption from registration. Sponsors of private funds typically seek to qualify for an exemption from the Investment Company Act of 1940 pursuant either to Section 3(c)(1) or Section 3(c)(7), each of which requires the fund to not make a public offering and limit investors to those who meet certain wealth thresholds.

    [4] Section 202(a)(11) of the Investment Advisers Act of 1940 (the Advisers Act) defines “investment adviser” to mean “any person who, for compensation, engages in the business of advising others, . . . as to the value of securities or as to the advisability of investing in, purchasing, or selling securities . . . .” An investment adviser meeting this definition is required to register with the SEC or a state or find an applicable exemption from registration.

    [5] See, e.g., S. Rep. No. 1760, 86th Cong., 2d Sess. 7 (1960), which specifies that the antifraud provisions in Section 206 of the Advisers Act apply to registered and unregistered investment advisers (even if a person is not required to register with the SEC, the person may be subject to the anti-fraud provisions of the Advisers Act, as well as the laws of various states).

    [6] The SEC and many states provide an exemption from registration as an investment adviser, commonly referred to as an “exempt reporting adviser.” An “exempt reporting adviser” is an adviser solely to private funds and manages less than $150 million. An exempt reporting adviser is not required to adopt a comprehensive compliance program pursuant to Rule 206(4)-7 or to comply with most other rules under the Advisers Act. An exempt reporting adviser, however, is still subject to the anti-fraud provisions of the Advisers Act. An exempt reporting adviser, therefore, should adopt reasonable compliance policies, procedures and oversight to avoid the appearance of a violation of the anti-fraud provisions or the adviser’s fiduciary duty to clients. Further, exempt reporting advisers are not subject to the full registration process, but still must file a truncated Form ADV with the SEC and update it at least annually.

    [7] An investment adviser is a fiduciary and this fiduciary duty applies to the investment adviser’s entire relationship with its clients, including advice on digital assets that may not be securities.

    [View source.]


    Securian Financial Adds Talent to Retirement Plan Sales Team | killexams.com real questions and Pass4sure dumps

    ST. PAUL, Minn.--(Business Wire)--Craig Shrack has joined Securian Financial as a regional sales vice president working with advisors to bring Securian Financial’s retirement plan solutions to small and mid-size employers.

    Based in Indianapolis, Shrack is supporting retirement plan advisors located in Indiana, central and southern Illinois, and Kentucky. Prior to joining Securian Financial, he served as a regional vice president with Transamerica Retirement Services. Shrack holds FINRA Series 6 and 63 registrations and earned a bachelor’s degree from Purdue University.

    “Craig is an outstanding addition to our team,” said Steve Chappell, Securian Financial’s national vice president of retirement plan sales. “We are continuing to add talent to our sales force due to the growing demand for our product in addition to the recent introduction of several new offerings, including a 3(16) service, a multiple employer plan option called MEPconnectSM, ReadyPlanSM for small employers and unitized model portfolios.”

    Securian Financial has been helping people save for retirement since 1930. Its platform features long-tenured retirement specialists, fiduciary-friendly fee levelization practices and extensive administrative outsourcing, most of which is offered at no additional cost. Securian Financial provides services to employer-sponsored retirement plans through group annuity products issued by Minnesota Life Insurance Company.

    About Securian FinancialAt Securian Financial, we’re here for family. And we’re here because of it. We’re guided by our purpose: helping customers build secure tomorrows. Since 1880, we’ve been building a uniquely diversified company that has outlasted economic ups and downs while staying true to our customers. We’re committed to the markets we serve, providing insurance, investment and retirement solutions that give families the confidence to focus on what’s truly valuable: banking memories with those who matter most.

    Craig Shrack is a Registered Representative of Securian Financial Services, Inc. Member FINRA / SIPC.

    Securian Financial is the marketing name for Securian Financial Group, Inc., and its affiliates.

    DOFU 9-2018613903

    Securian FinancialJeff Bakken, Media Relations, 651-665-7558jeff.bakken@securian.com


    Finra hampered by rising compensation costs, stagnant revenue | killexams.com real questions and Pass4sure dumps

    The Financial Industry Regulatory Authority Inc. faces many of the same challenges as its member firms — meeting rising costs in the face of stagnant revenue.

    Finra's biggest revenue source, regulatory fees, remains depressed, according to the self-regulatory body's latest annual report, released last Friday. At the same time, however, costs — particularly its employee compensation expense — continue to rise.

    That's sparked complaints from member firms about how Finra is being managed, and about its pay levels, especially executive compensation.

    “The number of broker-dealers has been declining every month,” said Jim Biddle, founder of The Securities Center Inc. “Yet they maintain [chief executive Richard G.] Ketchum's million-dollar salary.”

    Overall, Mr. Ketchum's pay fell 2% last year, to a total of $2.63 million, compared with $2.69 million in 2011. His salary held steady at $1 million while his bonus rose to $1.25 million from $1.2 million in 2011. His deferred compensation declined to $340,201 from $451,174 in 2011.

    “You do have to pay a bit of money to get good people,” said Neal Nakagiri, chief executive of NPB Financial Group LLC. “But I don't know what the [Finra] board uses for comparison purposes.”

    According to the Finra annual report, the organization competes against financial-services and law firms for talent, and has to offer long-term incentives to key executives to remain competitive.

    But like many of its members, Finra also is struggling with flat revenues.

    Its biggest revenue line, regulatory fees, encompasses a trading activity fee, gross-income assessments against firms, personnel assessments for registered persons and branch office assessments.

    Regulatory fees remain stuck at about 10% below their 2008 peak, at $406.9 million last year.

    Lower trading volumes are one contributing factor. But the number of broker-dealers, branch offices and registered representatives continues to shrink, as well. As of the end of May, Finra had 4,248 member firms, down 13.2% from 2008. The number of branch offices and registered representatives are off 6% and 5.3%, respectively.

    “Now I understand the push that Finra is making in Congress to take on the oversight of RIAs,” Donald Rice, president of Money Management Services Inc., said after seeing Finra's latest financial results. “They're doing it for the revenue.”

    Mr. Rice has lobbied against Finra overseeing investment advisers.

    A spokeswoman for Finra refuted Mr. Rice's comments.

    “Finra continues to believe that the current levels of investment adviser oversight and examinations are unacceptable … and that this significant gap in investor protection needs to be addressed,” spokeswoman Nancy Condon wrote in an e-mail..

    She added that Finra would support an adviser fee to fund more supervision “if it becomes an achievable solution,” but with the lack of consensus in Congress, Finra is not currently pursuing adviser SRO legislation.

    A year ago, as a result of the continuing losses, Finra announced a series of fee increases for member firms worth $60 million a year. The fee hikes, along with cost cutting and improved investment returns from its $1.6 billion portfolio, helped Finra eke out a profit of $10.5 million last year, reversing an $84 million loss from 2011. The organization, however, posted an operating loss of $89.2 million last year, slightly better than the $89.8 million operating loss it suffered in 2011.

    By the end of last year, head count had reached 3,400, up 100 from the beginning of 2012. Employee compensation grew to 63% of total expenses last year. It was 56.1% in 2008.

    “Head count is up because of contractor conversions to permanent staff,” Ms. Condon wrote. “Expenses are flat, reflecting that we have not added new or incremental head count.”

    Compensation and benefits costs have been growing 3% to 4% annually as a result of “increases related to employee merit, promotion, equity and incentive compensation,” Finra said in its most recent report. Head count has risen in recent years due to a migration of Finra's market regulation functions from an outside vendor to a new in-house center, and from bringing on former NYSE employees.

    Last year's $59.1 million gain on its investment portfolio put the organization into the black, but investment income may be muted in the future. Finra dramatically reduced risk in its portfolio following huge losses after the financial crisis in 2008. As of year-end 2012, 63% of its investment assets were allocated to high-quality bonds and cash, 20% in equities, and 13% in alternatives.

    The $1.6 billion portfolio is invested in HighVista II Limited Partnership, a “broadly diversified multiasset fund” managed by HighVista Strategies LLC, according to Finra's latest report. The fixed income portfolio is run by Wellington Management Co. LLP.

    Some members wonder what Finra is doing with all that money.

    “Why [doesn't Finra] give it back to members?” said Yaron “Ron” Reuven, chief executive of Reuven Enterprises Securities Division LLC.

    Some of the portfolio is derived from proceeds of the sale of the Nasdaq stock market more than a decade ago.

    At the time the Nasdaq sale was being planned in 2000, smaller broker-dealers convinced the NASD, since renamed Finra, to commit part of the proceeds to reducing member costs.

    “Finra uses its portfolio each and every year to subsidize its operating costs,” Ms. Condon wrote in her e-mail.

    The fee increases “have been the first price increases in 10 years in some cases,” she added.

    o, as a result of the continuing losses, Finra announced a series of fee increases for member firms worth $60 million a year. The fee hikes, along with cost cutting and improved investment returns from its $1.6 billion portfolio, helped Finra eke out a profit of $10.5 million last year, reversing an $84 million loss from 2011. The organization, however, posted an operating loss of $89.2 million last year, slightly better than the $89.8 million operating loss it suffered in 2011.

    By the end of last year, head count had reached 3,400, up 100 from the beginning of 2012. Employee compensation grew to 63% of total expenses last year. It was 56.1% in 2008.

    “Head count is up because of contractor conversions to permanent staff,” Ms. Condon wrote. “Expenses are flat, reflecting that we have not added new or incremental head count.”

    Compensation and benefits costs have been growing 3% to 4% annually as a result of “increases related to employee merit, promotion, equity and incentive compensation,” Finra said in its most recent report. Head count has risen in recent years due to a migration of Finra's market regulation functions from an outside vendor to a new in-house center, and from bringing on former NYSE employees.

    Last year's $59.1 million gain on its investment portfolio put the organization into the black, but investment income may be muted in the future. Finra dramatically reduced risk in its portfolio following huge losses after the financial crisis in 2008. As of year-end 2012, 63% of its investment assets were allocated to high-quality bonds and cash, 20% in equities, and 13% in alternatives.

    The $1.6 billion portfolio is invested in HighVista II Limited Partnership, a “broadly diversified multiasset fund” managed by HighVista Strategies LLC, according to Finra's latest report. The fixed income portfolio is run by Wellington Management Co. LLP.

    Some members wonder what Finra is doing with all that money.

    “Why [doesn't Finra] give it back to members?” said Yaron “Ron” Reuven, chief executive of Reuven Enterprises Securities Division LLC.

    Some of the portfolio is derived from proceeds of the sale of the Nasdaq stock market more than a decade ago.

    At the time the Nasdaq sale was being planned in 2000, smaller broker-dealers convinced the NASD, since renamed Finra, to commit part of the proceeds to reducing member costs.

    “Finra uses its portfolio each and every year to subsidize its operating costs,” Ms. Condon wrote in her e-mail.

    The fee increases “have been the first price increases in 10 years in some cases,” she added.



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    Business-Tests Series6 Exam (NASD Series 6) Detailed Information



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