Module 6-7 Flashcards
1
Q
DJIA
A
Dow Jones industrial average
2
Q
EPA
A
environmental protection agendy
3
Q
FDA
A
food and drug administration
4
Q
ADR
A
American Depositary Receipts; p17, a form of equity security created specifically to simplify foreign investing for American investors.
5
Q
NMS
A
National Market System; listed on an exchange or the Nasdaq
6
Q
munis / govies
A
debt issued by governments at the state or lower level / debt issued by the federal government
7
Q
AON
A
all-or-none type of underwriting (versus mini-max) p126
8
Q
S-1
A
registration statement, filed with SEC, includes the prospectus,
p129
9
Q
blue sky
A
the process of coordinating the federal and the state registrations
10
Q
red herring
A
preliminary prospectus, p130
11
Q
WKSI
A
well-known seasoned ISSUER
