Securities - Introduction

 



  1. Definitions
    • Securities
    • Sale
    • Other (e.g., non-issuer, guaranteed)
  2. Registration
  3. Exemptions
    • Securities
    • Transactions
  4. Federal covered securities
Securities


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    Other Definitions

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  7. Professionals

    Exempt Securities

    Certain securities are exempt from the registration provisions of the Securities Act of 1933 because of the issuer or the nature of the security. While the securities may be exempt from the registration ...
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    State Authority over Federal Covered Securities

    FINRA/NASAA Series 65 - State Authority over Federal Covered Securities. In this section exchage-listed securuties, investment company shares and initial pyblic offering.
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    Registration of Securities

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    Exempt Transactions

    The Uniform Securities Act specifies a number of transactions by which non-exempt securities may be legally traded without registration. The following is not a comprehensive list but touches ...
RELATED TERMS
  1. Nonissuer Transaction

    A tranasction not directly or indirectly executed for the benefit ...
  2. Covered Security

    A class of securities, created by the National Securities Market ...
  3. Exempt Transaction

    A type of securities transaction where a business does not need ...
  4. Small Corporate Offering Registration ...

    A form of corporate securities registration designed to reduce ...
  5. Regulation A

    An exemption from the registration requirements mandated by the ...
  6. SEC Form 1

    An application for and amendments to an application for registration ...
RELATED FAQS
  1. According to the USA, it is unlawful for a person to offer to sell a security in ...

    a. the security is registered with Federal Reserve. b. it is a federal covered security, is exempted from registration, or ... Read Answer >>
  2. Transactions are exempt from registration where …

    Transactions are exempt from registration where … a. A sale, or offer of sale is made to ALL clients of a brokerage ... Read Answer >>
  3. If an issuer wishes to register a security in the state ...

    The correct answer is a. Registration by coordination is permitted when the issuer has filed a registration application with ... Read Answer >>
  4. Who is exempt from paying Social Security taxes?

    Learn about the groups of people who qualify for exemption from Social Security taxes, and explore the process of applying ... Read Answer >>
  5. How long is the validity period for a Series 63 exam if I have not been registered?

    Find out how registration begins using Series 63 results and how long scores are valid without registration. Learn more about ... Read Answer >>
  6. How does piggyback registration work?

    Registration rights ensure that companies cooperate during the registration process through which investors register shares ... Read Answer >>
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