Federal Securities Regulations Flashcards
1
Q
Securities Act of 1933
A
- Also known as: Paper Act, Truth in Securities Act, and Prospectus Act
- Regulates issue of securities in IPOs and Subsequent Public Offerings (SPOs)
- Issuer Information disclosed to SEC in registration statement and published in a prospectus.
- Prohibits fraudulent activity in connection to sale, underwriting, or distribution of securities, and provides sanctions for violations
2
Q
SA33: Security
A
.
3
Q
SA33: Issuer
A
.
4
Q
SA33: Underwriter
A
.
5
Q
SA33: Person
A
.
6
Q
SA33: Prospectus
A
.
7
Q
SA33: Sale
A
.
8
Q
SA33: Exempted Securities
A
.
9
Q
SA33: Rule 147
A
.
10
Q
Exemptions under Securities Act of 1933, not Uniform Securities Act
A
.
11
Q
SA33: Exempted Transactions
A
.
12
Q
SA33: Registration of Securities
A
.
13
Q
SA33: Registration Statement
A
.
14
Q
SA33: Cooling-Off Period
A
.
15
Q
SA33: Preliminary Prospectus
A
.
16
Q
SA33: Final Prospectus
A
.
17
Q
SA33: Rule 482 Prospectus
A
.
18
Q
SA33: Effective Date of Registration Statement
A
.
19
Q
SA33: Liabilities
A
.
20
Q
SEC Regulation D
A
.
21
Q
Rule 506
A
.
22
Q
Rule 501
A
.
23
Q
Form D
A
.
24
Q
SEC Rule 144
A
.
25
Restricted Securities
.
26
Control Person
.
27
Control Stock
.
28
Nonaffiliate
.
29
Securities Exchange Act of 1944
.
30
SEA1934: SEC
.
31
SEA1934: Broker
.
32
SEA1934: Dealer
.
33
SEA1934: Associated Person
.
34
SEA1934: Market Maker
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35
SEA1934: Securities Information Processor
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36
SEA1934: Transfer Agent
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37
SEA1934: Exchange
.
38
SEA1934: SRO
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39
SEA1934: Security
.
40
SEA1934: Equity Security
.
41
SEA1934: Municipal Securities
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42
SEA1934: Government Securities
.
43
SEA1934: Statutory Disqualification
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44
SEA1934: Regulatory Authority
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45
SEA1934: Investment Discretion
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46
SEA1934: Registration
.
47
SEA1934: Form BD
.
48
SEA1934: Maloney Act of 1938
.
49
SEA1934: Insider Transactions
.
50
SEA1934: Schedule 13D Filings
.
51
SEA1934: Schedule 13F Filings
.
52
SEA1934: Schedule G Filings
.
53
SEA1934: Section 16 Filings
.
54
SEA1934: Credit Requirements
.
55
SEA1934: Regulation T
.
56
SEA1934: Churning
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57
SEA1934: Wash Trades
.
58
SEA1934: Matched Orders
.
59
SEA1934: Pegging, Fixing, and Stabilizing
.
60
SEA1934: Order Tickets
.
61
Insider Trading and Securities Fraud Enforcement Act of 1988
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62
ITSFEA88: Insider/Control Person/ Affiliate
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63
ITSFEA88: Treble Damages
.
64
ITSFEA88: Private Rights of Action for Contemporaneous Trading
.
65
Powers of the SEC
.
66
SEC Rule 15c3-1
.
67
Securities Amendments Act of 1975
.
68
Investment Company Act of 1940
.
69
ICA40: Face Amount Certificate Company
.
70
ICA40: Unit Investment Trust
.
71
ICA40: Management Company
.
72
ICA40: Subclassifications
.
73
ICA40: Open-End
.
74
ICA40: Closed End
.
75
ICA40: Non/diversified companies
.
76
ICA40: Registration of Investment Companies
.
77
ICA40: Ineligibility
.
78
ICA40: Rule 12b-1
.
79
ICA40: Prohibited Activities of Investment Companies
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80
ICA40: Changes in Investment Policy
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81
ICA40: Size of Investment Companies
.
82
ICA40: Investment Advisory and Underwriter Contracts
.
83
ICA40: Affiliated Person
.
84
ICA40: Control Person
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85
ICA40: Custodian
.
86
ICA40: Sale of Redeemable Securities
.
87
ICA40: Breakpoint
.
88
ICA40: Periodic and Other Reports
.
89
ICA40: Shareholder Reports
.
90
ICA40: Destruction and Falsification of Reports and Records
.
91
ICA40: Unlawful Representations and Names
.
92
ICA40: Larceny and Embezzlement
.
93
ICA40: Computing Returns of Mutual Fund Shares
.
94
ICA40: Current Return on Mutual Fund Shares
.
95
ICA40: Total Return on Mutual Fund Shares
.
96
ICA40: Money Laundering
.
97
ICA40: CTRs
.
98
National Securities Markets Improvement Act of 1966
.
