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Joe Boceli
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Decks in this class (21)
Ch 2 Deck 1
When a company raises money by cr...,
When a company issues securities ...,
When a company issues additional ...
8
cards
Ch 2 Deck 2
Offering in which issuer solicits...,
Competitive offerings are more co...,
In competitive offerings underwri...
49
cards
Ch 2 Deck 3
Prior to agreement the issuer and...,
Outlines the duties and rights of...,
Aau states the liability for
30
cards
Ch 2 Deck 4
Underwriting fee is typically,
Underwriting expenses are typically,
Profit to the dealer that sells t...
25
cards
Ch 2 Deck 5
The issuer issues 15 more shares ...,
Green shoe option is also called,
The green shoe option keeps the u...
33
cards
Ch 2 Deck 6
A prospectus is a sales document ...,
Section 2 of securities act of 19...,
Any written offer to sell or soli...
34
cards
Ch 2 Deck 7
Final prospectus must contain cop...,
Final prospectus must contain gen...,
Final prospectus must contain inf...
33
cards
Ch 2 deck 8
In registration period regular bu...,
For an ipo in the post effective ...,
Time during post effective period...
35
cards
Ch 2 Deck 9
A purchase by a broker dealer of ...,
Rule 2730 is part of a group of r...,
Rule 2730 prevents a finra member...
33
cards
Ch 2 Deck 10
If there are no other independent...,
In passive market making quotes m...,
Passive market making can only be...
27
cards
Ch 2 Deck 11
Rule 105 restrictions on short se...,
Rule 105 restrictions on short se...,
Rule 105 restrictions on short se...
27
cards
Ch 2 Deck 12
Used for us or foreign firms that...,
Regulation d issuers can be either,
Regulation d includes restriction...
30
cards
Ch 2 Deck 13
When can one start selling regula...,
When can one start selling regula...,
When can one start selling regula...
36
cards
Ch 2 Deck 14
Nasdaq listing requirements include,
Nasdaq listing requirements do no...,
Electronic quotation system that ...
27
cards
Ch 2 Deck 15
Gun jumping is to ensure that eve...,
Rule 134 communications includes ...,
Rule 134 communications are not c...
11
cards
Ch 2 Deck 16
Agent at broker dealer is restric...,
A limited broker dealer is only a...,
Finra 5110 defines participating ...
24
cards
Ch2 Deck 17
Finra rule 5121 states that when ...,
Finra rule 5121 requires member f...,
Finra rule 5121 prohibits a membe...
29
cards
Ch2 Deck 18
Daily records obtaining itemized ...,
Blotters must be kept for,
What section of the securities ac...
15
cards
Ch 2 Deck 19
Reg d issuers file with,
Reg d issuers file on form,
Reg d issuers file on form d within
42
cards
Ch 2 Deck 20
Member private offerings are exem...,
Member private offerings are exem...,
Member private offerings are exem...
31
cards
Ch 2 Deck 21
Can be judged an ineligible issue...,
Can be judged an ineligible issue...,
Can be judged an ineligible issue...
17
cards
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Series 79 Chapter 2
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