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Question 1

IPO’s, rights offerings, private placements, & preferential allotments

Answer 1

Primary Offering

Question 2

REITs, venture capital funds, insurance companies, credit unions, banks, pension funds, hedge funds, & mutual funds

Answer 2

Institutional investors

Question 3

single-state offering, Intrastate ruling

Answer 3

Rule 147

Question 4

rules sale of “restricted” securities (e.g. shares owned by CEO)

Answer 4

Rule 144

Question 5

governs the sale of private placements

Answer 5

Regulation D

Question 6

sale of the public offerings up to $20 million(Tier1), or up to $50 million(Tier2) in any of the 12-month period

Answer 6

Regulation A

Question 7

non-governmental agencies that foresee sec. txn

Answer 7

Sel-regulatory Organizations (SROs)

Question 8

non-profir org., for bankrupt brokerage firm, $500K, but only $250K in cash

Answer 8

Securities Investor Protection Corp. (SIPC)

Question 9

paid commissions when executing a trade

Answer 9

Broker

Question 10

paid a flat fee/% of the assets under mgt.

Answer 10

Invetsment Advisors (IA)

Question 11

set by the Congress & the President-setting tax rates

Answer 11

Fiscal policy

Question 12

By Federal Reserve-manipulates money supply

Answer 12

Monetary policy

Question 13

All corp. are required to authorized at least ____ share of stock.

Answer 13

one

Question 14

a corporation that can issue any class

Answer 14

C corporations

Question 15

a corporation that can only issue one class

Answer 15

S corporations