Legl 2700 Roessing Test 4 vocab Questions And Answers
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Course
UGA LEGL 2700
Institution
UGA LEGL 2700
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...
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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