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Series 66 > Federal Securities Regulations > Flashcards

Federal Securities Regulations Flashcards

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Series 66 flashcards
1
Q

Securities Act of 1933

A
  1. Also known as: Paper Act, Truth in Securities Act, and Prospectus Act
  2. Regulates issue of securities in IPOs and Subsequent Public Offerings (SPOs)
  3. Issuer Information disclosed to SEC in registration statement and published in a prospectus.
  4. Prohibits fraudulent activity in connection to sale, underwriting, or distribution of securities, and provides sanctions for violations
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2
Q

SA33: Security

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3
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SA33: Issuer

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4
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SA33: Underwriter

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5
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SA33: Person

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6
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SA33: Prospectus

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7
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SA33: Sale

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8
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SA33: Exempted Securities

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9
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SA33: Rule 147

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10
Q

Exemptions under Securities Act of 1933, not Uniform Securities Act

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11
Q

SA33: Exempted Transactions

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12
Q

SA33: Registration of Securities

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13
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SA33: Registration Statement

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14
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SA33: Cooling-Off Period

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15
Q

SA33: Preliminary Prospectus

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16
Q

SA33: Final Prospectus

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17
Q

SA33: Rule 482 Prospectus

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18
Q

SA33: Effective Date of Registration Statement

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19
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SA33: Liabilities

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20
Q

SEC Regulation D

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21
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Rule 506

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22
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Rule 501

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23
Q

Form D

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24
Q

SEC Rule 144

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25
Q

Restricted Securities

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26
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Control Person

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27
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Control Stock

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28
Q

Nonaffiliate

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29
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Securities Exchange Act of 1944

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30
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SEA1934: SEC

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31
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SEA1934: Broker

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32
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SEA1934: Dealer

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33
Q

SEA1934: Associated Person

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34
Q

SEA1934: Market Maker

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35
Q

SEA1934: Securities Information Processor

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36
Q

SEA1934: Transfer Agent

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37
Q

SEA1934: Exchange

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38
Q

SEA1934: SRO

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39
Q

SEA1934: Security

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40
Q

SEA1934: Equity Security

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41
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SEA1934: Municipal Securities

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42
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SEA1934: Government Securities

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43
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SEA1934: Statutory Disqualification

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44
Q

SEA1934: Regulatory Authority

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45
Q

SEA1934: Investment Discretion

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46
Q

SEA1934: Registration

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47
Q

SEA1934: Form BD

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48
Q

SEA1934: Maloney Act of 1938

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49
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SEA1934: Insider Transactions

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50
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SEA1934: Schedule 13D Filings

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51
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SEA1934: Schedule 13F Filings

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52
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SEA1934: Schedule G Filings

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53
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SEA1934: Section 16 Filings

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54
Q

SEA1934: Credit Requirements

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55
Q

SEA1934: Regulation T

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56
Q

SEA1934: Churning

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57
Q

SEA1934: Wash Trades

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58
Q

SEA1934: Matched Orders

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59
Q

SEA1934: Pegging, Fixing, and Stabilizing

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60
Q

SEA1934: Order Tickets

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61
Q

Insider Trading and Securities Fraud Enforcement Act of 1988

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62
Q

ITSFEA88: Insider/Control Person/ Affiliate

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63
Q

ITSFEA88: Treble Damages

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64
Q

ITSFEA88: Private Rights of Action for Contemporaneous Trading

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65
Q

Powers of the SEC

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66
Q

SEC Rule 15c3-1

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67
Q

Securities Amendments Act of 1975

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68
Q

Investment Company Act of 1940

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69
Q

ICA40: Face Amount Certificate Company

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70
Q

ICA40: Unit Investment Trust

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71
Q

ICA40: Management Company

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72
Q

ICA40: Subclassifications

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73
Q

ICA40: Open-End

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74
Q

ICA40: Closed End

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75
Q

ICA40: Non/diversified companies

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76
Q

ICA40: Registration of Investment Companies

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77
Q

ICA40: Ineligibility

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78
Q

ICA40: Rule 12b-1

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79
Q

ICA40: Prohibited Activities of Investment Companies

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80
Q

ICA40: Changes in Investment Policy

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81
Q

ICA40: Size of Investment Companies

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82
Q

ICA40: Investment Advisory and Underwriter Contracts

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83
Q

ICA40: Affiliated Person

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84
Q

ICA40: Control Person

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85
Q

ICA40: Custodian

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86
Q

ICA40: Sale of Redeemable Securities

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87
Q

ICA40: Breakpoint

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88
Q

ICA40: Periodic and Other Reports

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89
Q

ICA40: Shareholder Reports

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90
Q

ICA40: Destruction and Falsification of Reports and Records

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91
Q

ICA40: Unlawful Representations and Names

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92
Q

ICA40: Larceny and Embezzlement

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93
Q

ICA40: Computing Returns of Mutual Fund Shares

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94
Q

ICA40: Current Return on Mutual Fund Shares

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95
Q

ICA40: Total Return on Mutual Fund Shares

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96
Q

ICA40: Money Laundering

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97
Q

ICA40: CTRs

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98
Q

National Securities Markets Improvement Act of 1966

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Series 66 (1 decks)

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