Send us a text he provided text outlines the fundamental legal frameworks governing the American financial industry, specifically focusing on the Securities Act of 1933 and the Securities Exchange Act of 1934. The 1933 Act establishes protocols for new investment offerings, requiring companies to provide full transparency through registration statements and prospectuses to protect the public from fraud. In contrast, the 1934 Act regulates the secondary market, overseeing the ongoing trading o...
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Send us a text he provided text outlines the fundamental legal frameworks governing the American financial industry, specifically focusing on the Securities Act of 1933 and the Securities Exchange Act of 1934. The 1933 Act establishes protocols for new investment offerings, requiring companies to provide full transparency through registration statements and prospectuses to protect the public from fraud. In contrast, the 1934 Act regulates the secondary market, overseeing the ongoing trading o...
Series 7 Exam Prep:529 Plans.. Absolutely Testable
Series 7 Whisperer
5 minutes
3 weeks ago
Series 7 Exam Prep:529 Plans.. Absolutely Testable
529 plans show up on the Series 7 more than people expect — and most students miss points because of tax timing, not definitions. In this episode, we do a deep dive on 529 College Savings Plans for the Series 7 exam, including: • How 529 plans are taxed • Contribution rules and 5-year gift tax averaging • Qualified vs nonqualified withdrawals • State vs federal tax treatment • What a registered representative must disclose when a client uses an out-of-state 529 • The calendar year vs academi...
Series 7 Whisperer
Send us a text he provided text outlines the fundamental legal frameworks governing the American financial industry, specifically focusing on the Securities Act of 1933 and the Securities Exchange Act of 1934. The 1933 Act establishes protocols for new investment offerings, requiring companies to provide full transparency through registration statements and prospectuses to protect the public from fraud. In contrast, the 1934 Act regulates the secondary market, overseeing the ongoing trading o...
