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Legl 2700 Roessing Test 4 vocab Questions And Answers
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Legl 2700 Roessing Test 4 vocab Questions And Answers administrative law judges perform the adjudicative fact-finding functions -have immunity exhaustion of remedies a doctrine requiring that a person attempt all available options within an administrative agency before taking a claim to a co...

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  • October 19, 2024
  • 12
  • 2024/2025
  • Exam (elaborations)
  • Questions & answers

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  • UGA LEGL 2700
  • UGA LEGL 2700

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Legl 2700 Roessing Test 4 vocab Questions
And Answers

administrative law judges perform the adjudicative fact-finding functions


-have immunity




exhaustion of remedies a doctrine requiring that a person attempt all available options

within an administrative agency before taking a claim to a court




Primary Jurisdiction a doctrine used by reviewing courts to determine whether a case is

properly before the courts or whether it should be heard by an administrative agency first since

such an agency might have expertise superior to the courts'




security investment in which the investor does not participate in the management




Securities Act of 1933 The first major federal law regulating the securities industry. It

requires firms issuing new stock in a public offering to file a registration statement with the SEC.




Issuer the individual or business organization offering a security for sale to the public

, Legl 2700 Roessing Test 4 vocab Questions
And Answers
underwriter anyone who participates in the original distribution of securities by selling

securities from the issuer, or by guaranteeing sale




controlling person one who controls or is controlled by the issuer, such as a major

stockholder of a corporation




seller anyone who contracts with a purchaser or who is a motivating influence that causes

the purchase transaction to occur




registration statement detailed disclosure of financial information about the issuer and the

controlling individuals involved in the offering of securities for sale to the public




prefiling period issuer can have preliminary negotiations and contracts with underwriters;

but no offers to buy, sell or actual sales of the security




waiting period after issuer files registration, 20 day period during which SEC investigates

accuracy of registration statement; still cannot sell, but can solicit or receive offers, publish

tombstone ads or preliminary prospectus

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