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7 Cards in this Set

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Define the securities Act of 1933?
Known as the paper act. Primary Market. Any new issue sold to the public through an interstate commerce must be registered.
Define the securities Act of 1934?
Secondary Market. People Act. Regulates the trading markets and it's participants. Prevent Fraud
The underwrites must keep prospectuses available for?
Non NASDAQ issues: 90 days on an IPO. 40 Days on a primary offering. Listed and NASDAQ: 25 days
IPO?? Intital Public Offering is?
A companies first time in the market raising capital.
Secondary Offering?
The sale by a shareholder of a block of stock some time after it has been sold by the issuing company.
Primary Offering?
The market for new issues or underwritings.
New Issues may not be purchased on margin for?
30 days