Regulation

Card Set Information

Author:
sandeec45
ID:
138744
Filename:
Regulation
Updated:
2012-02-29 17:58:44
Tags:
Business Law
Folders:

Description:
Federal Securities Acts
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  1. Insiders
    Includes officers, directors, and owners of more than 10% of any class of an issuer's equity securities.
  2. Prospectus
    Any notice, circular, advertisement, letter, or communication offering any security for sale (or merger).
  3. Proxy
    Grant of authority by a shareholder to someone else to vote the shareholder's shares at a meeting.
  4. Registration Statement
    The statement required to be filed with the SEC before the initial sale of securities can occur.
  5. Security
    Any debt or equity interest in a company including a note, stock, bond, certificate of interest, debenture, investment contract, etc.
  6. Underwriter
    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.

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