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LEGL 2700 EPSTEIN PRE-FINAL UNIT

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  • LEGL 2700

security -Correct Answer owning a piece of a business that others are managing; any note, stock, treasury stock, bond, debenture, evidence of indebtedness, etc securities and exchange commission (SEC) -Correct Answer agency at the federal level that is responsible for administering the federal s...

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  • November 8, 2024
  • 4
  • 2024/2025
  • Exam (elaborations)
  • Questions & answers

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  • legl 2700 epstein
  • legl 2700
  • legl 2700 epstein pre final unit
  • legl 2700 epstein pre final unit 2024
  • legl 2700 epstein pre final

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LEGL 2700 EPSTEIN PRE-FINAL UNIT



LEGL 2700 EPSTEIN PRE-FINAL UNIT
2024-2025
security -Correct Answer ✔owning a piece of a business that others are managing; any
note, stock, treasury stock, bond, debenture, evidence of indebtedness, etc

securities and exchange commission (SEC) -Correct Answer ✔agency at the federal
level that is responsible for administering the federal securities laws; consists of five
commissioners; possess quasi-legislative and quasi-judicial powers

blue sky laws -Correct Answer ✔state level laws that regulate the offer and sale of
securities

securities act of 1933 -Correct Answer ✔the first major federal law regulating the
securities industry; it requires the disclosure of info to the potential investors; info must
be true and not misleading

issuer -Correct Answer ✔individual or business organization offering a security for sale
to the public

underwriter -Correct Answer ✔anyone who participates in the original distribution of
securities; sells securities for issuer or guarantees the sale

seller -Correct Answer ✔anyone who contracts with a purchaser causing the purchase
to occur

registration statement -Correct Answer ✔detailed disclosure of financial info about the
issuer and controlling individuals

prefiling period -Correct Answer ✔period during which it is legal to engage in preliminary
negotiations and agreements with underwriters; illegal to sell the securities

waiting period -Correct Answer ✔period that is generally 20 days long to allow the SEC
to review; still illegal to sell the securities; not illegal to solicit offers, just can't accept
them yet and form contact

posteffective period -Correct Answer ✔period during which it is now legal for sales to
commence

prospectus -Correct Answer ✔contains financial info related to issuer and controlling
persons; provided to interested investor; just conform to the statutory requirements
(does not mean it is a good investment!)



LEGL 2700 EPSTEIN PRE-FINAL UNIT

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