Shared Flashcard Set

Details

Series 66 Rote Facts -- Copyright Kaplan Education
Miscellaneous Percentages
9
Finance
Professional
10/20/2011

Additional Finance Flashcards

 


 

Cards

Term
Maximum 12b-1 fee permitted to be levied by a no-load fund
Definition
.25%
Term
Equity ownership threshold for filing form 13D under the '34 Act
Definition
5%
Term
Equity ownership threshold for being deemed an affiliate under the Investment Company Act
Definition
5%
Term
Maximum underwriting compensation permitted under registration by notification
Definition
10%
Term
Equity ownership threshold for insider status under the '34 Act
Definition
10%
Term
Rate of federal taxation on long-term capital gains
Definition
15%
Term
Equity ownership (voting stock) threshold for being considered a control person under the Investment Company Act
Definition
25%
Term
Minimum measurement for various issuers under Rule 147
Definition
80%
Term
In-state purchasers under Rule 147
Definition
100%
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