Ch 2 Deck 21 Flashcards

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1
Q

Can be judged an ineligible issuer for not being current

A

in reporting

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2
Q

Can be judged an ineligible issuer for being this type of company

A

shell company

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3
Q

Can be judged an ineligible issuer for issuing this type of stock

A

penny stocks

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4
Q

Can be judged an ineligible issuer for having

A

violations

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5
Q

Access equals delivery model requires same

A

Content as paper version

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6
Q

Access equals delivery model requires notifying

A

investor in timely manner

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7
Q

Access equals delivery model requires notifying investor in timely manner. This means by the time

A

paper is out

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8
Q

Access equals delivery model requires access - being able to

A

print and save

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9
Q

Access equals delivery model requires, if in .pdf,

A

providing .pdf software

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10
Q

Access equals delivery model requires evidence

A

of delivery

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11
Q

Access equals delivery model requires evidence of delivery which includes

A

email return receipt

record of download

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12
Q

Exception to rule 5130 restrictions on BD’s retaining shares of an IPO for their own accounts to sell later only applies to

A

unsold shares

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13
Q

Exception to rule 5130 restrictions on BD’s retaining shares of an IPO for their own accounts to sell later requires that possibility of retention was

A

disclosed in the prospectus

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14
Q

Exception to rule 5130 restrictions on BD’s retaining shares of an IPO for their own accounts to sell later requires that it be subject

A

to a written agreement

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15
Q

Under Reg S one of these 3 must be true (1/3) buy order is

A

not made in the US

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16
Q

Under Reg S one of these 3 must be true (2/3) issuer transaction is made

A

outside the US on an established foreign exchange

17
Q

Under Reg S one of these 3 must be true (3/3) resale is

A

made on a designated foreign exchange