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7 Cards in this Set
- Front
- Back
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Red herring can be used for ___________ but not for making offers to sell or buy |
Making indications of interest |
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Holding companies are not included in the definition of _________ |
Investment company |
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Investment companies may own up to (but no more than) ____% of another investment companies shares |
Up to 3% |
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Prospectus is defined in the act of ____ |
33 |
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Name 3 things that are defined in the act of 34
1. Transfer agent 2. 3. |
1. Transfer agent 2. Market maker 3. Securities information processor |
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Registration by _______ is the only registration where the administrator sets the effective date |
Qualification |
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If you solicit an exempt security, it does not mean it's an exempt ________ |
Transaction |
