Reading...
Play button
Play button
Use LEFT and RIGHT arrow keys to navigate between flashcards;
Use UP and DOWN arrow keys to flip the card;
H to show hint;
A reads text to speech;
11 Cards in this Set
- Front
- Back
|
Securities Act 1933
|
Paper Act
Full Disclosure Act New Issue Act |
|
|
Securities Act 1934
|
Protects Investors
|
|
|
Trust Indenture Act 1939
|
Bond Issues
|
|
|
Blue Sky
|
Register with the state (Issuer and Reg Rep)
|
|
|
Sydicate Agreement
|
Contract Among Syndicate members
|
|
|
Western Sydicate Account
|
Divided (wild wild west ever man for him self) sells only what they contracted to sell
|
|
|
Eastern Sydicate Account
|
Responsible for their shares and re allocate any unsold shares to everyone
|
|
|
Intrastate offering (Rule 147)
|
Offering in one state
Exempt from 1933 |
|
|
Regulation A Offerings
|
Offering of sec worth 5 mill or less within 12 month is exempt from full reg
|
|
|
Regulation D Offerings
|
Private Placement no more than 35 unaccredited investors per year
|
|
|
Rule 144
|
Covers sale of restricted, unregistered, and control securities
Most investor can sell is 1% or avg of 4 week trading vol what ever is greater |
