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Series 66 > Federal Securities Regulations > Flashcards

Federal Securities Regulations 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
Q

SA33: Issuer

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4
Q

SA33: Underwriter

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5
Q

SA33: Person

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6
Q

SA33: Prospectus

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7
Q

SA33: Sale

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8
Q

SA33: Exempted Securities

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9
Q

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
Q

SA33: Registration Statement

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14
Q

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
Q

SA33: Liabilities

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20
Q

SEC Regulation D

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21
Q

Rule 506

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22
Q

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
Q

Control Person

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27
Q

Control Stock

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28
Q

Nonaffiliate

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29
Q

Securities Exchange Act of 1944

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30
Q

SEA1934: SEC

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31
Q

SEA1934: Broker

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32
Q

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

41
Q

SEA1934: Municipal Securities

42
Q

SEA1934: Government Securities

43
Q

SEA1934: Statutory Disqualification

44
Q

SEA1934: Regulatory Authority

45
Q

SEA1934: Investment Discretion

46
Q

SEA1934: Registration

47
Q

SEA1934: Form BD

48
Q

SEA1934: Maloney Act of 1938

49
Q

SEA1934: Insider Transactions

50
Q

SEA1934: Schedule 13D Filings

51
Q

SEA1934: Schedule 13F Filings

52
Q

SEA1934: Schedule G Filings

53
Q

SEA1934: Section 16 Filings

54
Q

SEA1934: Credit Requirements

55
Q

SEA1934: Regulation T

56
Q

SEA1934: Churning

57
Q

SEA1934: Wash Trades

58
Q

SEA1934: Matched Orders

59
Q

SEA1934: Pegging, Fixing, and Stabilizing

60
Q

SEA1934: Order Tickets

61
Q

Insider Trading and Securities Fraud Enforcement Act of 1988

62
Q

ITSFEA88: Insider/Control Person/ Affiliate

63
Q

ITSFEA88: Treble Damages

64
Q

ITSFEA88: Private Rights of Action for Contemporaneous Trading

65
Q

Powers of the SEC

66
Q

SEC Rule 15c3-1

67
Q

Securities Amendments Act of 1975

68
Q

Investment Company Act of 1940

69
Q

ICA40: Face Amount Certificate Company

70
Q

ICA40: Unit Investment Trust

71
Q

ICA40: Management Company

72
Q

ICA40: Subclassifications

73
Q

ICA40: Open-End

74
Q

ICA40: Closed End

75
Q

ICA40: Non/diversified companies

76
Q

ICA40: Registration of Investment Companies

77
Q

ICA40: Ineligibility

78
Q

ICA40: Rule 12b-1

79
Q

ICA40: Prohibited Activities of Investment Companies

80
Q

ICA40: Changes in Investment Policy

81
Q

ICA40: Size of Investment Companies

82
Q

ICA40: Investment Advisory and Underwriter Contracts

83
Q

ICA40: Affiliated Person

84
Q

ICA40: Control Person

85
Q

ICA40: Custodian

86
Q

ICA40: Sale of Redeemable Securities

87
Q

ICA40: Breakpoint

88
Q

ICA40: Periodic and Other Reports

89
Q

ICA40: Shareholder Reports

90
Q

ICA40: Destruction and Falsification of Reports and Records

91
Q

ICA40: Unlawful Representations and Names

92
Q

ICA40: Larceny and Embezzlement

93
Q

ICA40: Computing Returns of Mutual Fund Shares

94
Q

ICA40: Current Return on Mutual Fund Shares

95
Q

ICA40: Total Return on Mutual Fund Shares

96
Q

ICA40: Money Laundering

97
Q

ICA40: CTRs

98
Q

National Securities Markets Improvement Act of 1966

Series 66 (1 decks)

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