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;
10 Cards in this Set
- Front
- Back
|
A preliminary prospectus, permitted under SEC Regulations, isknown as the
|
Red-herring prospecuts
|
|
|
Under the Securites Exchange act of 1934, which of the follwing types of instruments is excluded from the definition of securities
|
a/ investement contracts
b. convertivle deventures c. nonconvertivle deventures d. certificates of deposit D |
|
|
A tombstone advertisement
|
Makes known the availability of a prospectus.
|
|
|
Under the Securities Act of 1933, which of the following statements most accurately reflects how securities registeration affects an investor?
|
The investor is provided with information on the principal puroses for which the offering proceeds will be used.
|
|
|
Which of the following sttements concerning the prospectus required by the Securities Act of 1933 is correct?
|
The prospectus is a part of the registration statement.
|
|
|
What notes are exempt securities and need not be registered under the Securities Act of 1933?
|
Notes are exempt securities under the Securities Act of 1933 if they have a maturity of nine months or less and if they are also used for commercial purposes rather than investments. The actual dollar amounts in the question are not a factor
|
|
|
Which notes are subject to the antifraud provisions of the Securities Act of 1933?
|
All notes
|
|
|
The anitfraud provisions of rule 10b-5 of the SE - ACT of 1934
|
Require that the wrongful act must be accomplished through the mail, and any other use of interstate commerce, or through a national securities exchange.
|
|
|
Does Form 10-K and Form 10-Q have to be certified by independent public accountants?
|
No, only Form 10-K
|
|
|
Which of the following transactions will be exempt from the full registration requiremtns of the Securities Act of 1933?
|
All offerings made under Regulation A
|
