Card Set Information
Federal Securities Acts
Includes officers, directors, and owners of more than 10% of any class of an issuer's equity securities.
Any notice, circular, advertisement, letter, or communication offering any security for sale (or merger).
Grant of authority by a shareholder to someone else to vote the shareholder's shares at a meeting.
The statement required to be filed with the SEC before the initial sale of securities can occur.
Any debt or equity interest in a company including a note, stock, bond, certificate of interest, debenture, investment contract, etc.
Any person who has purchased from an issuer with a view to the public distribution of any security, or party who participates in such an undertaking.