Exemptions from Registration
Give this one a try later!
-USA may exempt BOTH securities and/or transactions from registration
and filing in the state
-Exempt securities retain their exempt status at its initial issue and in
subsequent trading
BUT...
-Exempt transactions must be established before each transaction
From notes:
Private placement
Amount raised is below $5 million in funds solicited in 12 months
Well-known seasoned issuers
,SEC disclosure requirements
Give this one a try later!
Stock Option and appreciation rights
Long-term incentive plans
Pension plan
Stock performance comparison
Compensation committee report
Directors' compensation
Employment contracts and golden parachutes
facilitating payments
Give this one a try later!
small amounts of money demanded by minor officials to perform their
regular duties
Fair Credit Billing Act 471
Give this one a try later!
Provides consumers with a means to dispute a billing error on open-ended
credit accounts (credit and charge cards)
advertising substantiation program
, Give this one a try later!
an FTC program initiated in 1971 to ensure that advertisers make available to
consumers supporting evidence for claims made in ads
SEC review and approval
Give this one a try later!
The SEC does not rule on the merit of an offering; that is, it does not give
any opinion about the likelihood of success of a proposed business.
Registration comes into effect 20 days after it is filed.
Cesar Chavez
Give this one a try later!
Non-violent leader of the United Farm Workers from 1963-1970. Organized
laborers in California and in the Southwest to strike against fruit and
vegetable growers. Unionized Mexican-American farm workers.
equity financing
Give this one a try later!
money raised from within the firm, from operations or through the sale of
ownership in the firm (stock or venture capital)
Give this one a try later!
-USA may exempt BOTH securities and/or transactions from registration
and filing in the state
-Exempt securities retain their exempt status at its initial issue and in
subsequent trading
BUT...
-Exempt transactions must be established before each transaction
From notes:
Private placement
Amount raised is below $5 million in funds solicited in 12 months
Well-known seasoned issuers
,SEC disclosure requirements
Give this one a try later!
Stock Option and appreciation rights
Long-term incentive plans
Pension plan
Stock performance comparison
Compensation committee report
Directors' compensation
Employment contracts and golden parachutes
facilitating payments
Give this one a try later!
small amounts of money demanded by minor officials to perform their
regular duties
Fair Credit Billing Act 471
Give this one a try later!
Provides consumers with a means to dispute a billing error on open-ended
credit accounts (credit and charge cards)
advertising substantiation program
, Give this one a try later!
an FTC program initiated in 1971 to ensure that advertisers make available to
consumers supporting evidence for claims made in ads
SEC review and approval
Give this one a try later!
The SEC does not rule on the merit of an offering; that is, it does not give
any opinion about the likelihood of success of a proposed business.
Registration comes into effect 20 days after it is filed.
Cesar Chavez
Give this one a try later!
Non-violent leader of the United Farm Workers from 1963-1970. Organized
laborers in California and in the Southwest to strike against fruit and
vegetable growers. Unionized Mexican-American farm workers.
equity financing
Give this one a try later!
money raised from within the firm, from operations or through the sale of
ownership in the firm (stock or venture capital)
