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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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. SEC Form 8-B12G

    A filing with the Securities and Exchange Commission (SEC) concerning ...
  4. SEC Form 8-B12B

    A filing with the Securities and Exchange Commission (SEC) which ...
  5. SEC Form 8-K12G3

    A form that is an initial filing for the notification of securities ...
  6. Regulation A

    An exemption from the registration requirements mandated by the ...
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. Does working capital include marketable securities?

    Learn how marketable securities such as Treasury bills (T-bills) and commercial papers are part of current assets and the ... Read Answer >>
  4. What's the difference between primary and secondary capital markets?

    Learn how in the primary capital market, securities are issued for the first time, while in the secondary market, investors ... Read Answer >>
  5. 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 >>
  6. 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 >>
Hot Definitions
  1. Over-The-Counter - OTC

    Over-The-Counter (or OTC) is a security traded in some context other than on a formal exchange such as the NYSE, TSX, AMEX, ...
  2. Quarter - Q1, Q2, Q3, Q4

    A three-month period on a financial calendar that acts as a basis for the reporting of earnings and the paying of dividends.
  3. Weighted Average Cost Of Capital - WACC

    Weighted average cost of capital (WACC) is a calculation of a firm's cost of capital in which each category of capital is ...
  4. Basis Point (BPS)

    A unit that is equal to 1/100th of 1%, and is used to denote the change in a financial instrument. The basis point is commonly ...
  5. Sharing Economy

    An economic model in which individuals are able to borrow or rent assets owned by someone else.
  6. Unlevered Beta

    A type of metric that compares the risk of an unlevered company to the risk of the market. The unlevered beta is the beta ...
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