1 of 223
Definition
This doesn't require voter approval since they're backed by fees that
are paid for use of the facility or service.
- A consultant is hired to produce a feasibility study (i.e. and
engineers report, cost, financing of deal, etc.)
Give this one a try later!
, Existing Issuing Revenue Bonds
The Third Market Raising Property Taxes
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2 of 223
Definition
These are exempt offerings that do not involve a public distribution.
- Quicker and less expensive way to raise money
- Securities are tailored more to sophisticated investors
Give this one a try later!
Private Offerings Underwriting Issues
Corporate Actions Department Stages of money laundering
Don't know?
3 of 223
Definition
This is also referred as a "Red Herring"; used during the cooling off
period.
- Omits the offering price, underwriting and dealer discounts and
,proceeds to the issuer
- Once the final offering price is set, a final statutory prospectus is
filed
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Revocable Trust Purpose of Stock Splits
Preliminary Prospectus Free Writing Prospectus
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4 of 223
Definition
This enabled the creation of the Secrurities Investor Protection
Corporation (SIPC); an industry funded, non-profit insurance entity.
Provides insurance coverage for the customers of brokerage firms if
the firms become insolvent
- Protection against broker-dealer bankruptcy
- 500K coverage p/separate customer
- 250K limitation on cash overage
- Industry-funded; not part of US Gov
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Securities Investor Protection
Limit Order
Act of 1970 (SIPA)
, Telephone Consumer Protection
Order Qualifiers
Act
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5 of 223
Definition
Corporations and gov raise funds through issuance of publicly
traded loans. This is a security that represent the amount of principal
the issuer owes to the investor
- The investor that purchases this are creditors of the issuer and lend
money for a specific period until it matures
- If the issuer misses an interest or principal payment, its considered
a default
Give this one a try later!
Identity Theft Prevention Holding Customer Mail
Issuing Debt Securities; Bonds Registrars and Transfer Agents
Don't know?
Definition
This doesn't require voter approval since they're backed by fees that
are paid for use of the facility or service.
- A consultant is hired to produce a feasibility study (i.e. and
engineers report, cost, financing of deal, etc.)
Give this one a try later!
, Existing Issuing Revenue Bonds
The Third Market Raising Property Taxes
Don't know?
2 of 223
Definition
These are exempt offerings that do not involve a public distribution.
- Quicker and less expensive way to raise money
- Securities are tailored more to sophisticated investors
Give this one a try later!
Private Offerings Underwriting Issues
Corporate Actions Department Stages of money laundering
Don't know?
3 of 223
Definition
This is also referred as a "Red Herring"; used during the cooling off
period.
- Omits the offering price, underwriting and dealer discounts and
,proceeds to the issuer
- Once the final offering price is set, a final statutory prospectus is
filed
Give this one a try later!
Revocable Trust Purpose of Stock Splits
Preliminary Prospectus Free Writing Prospectus
Don't know?
4 of 223
Definition
This enabled the creation of the Secrurities Investor Protection
Corporation (SIPC); an industry funded, non-profit insurance entity.
Provides insurance coverage for the customers of brokerage firms if
the firms become insolvent
- Protection against broker-dealer bankruptcy
- 500K coverage p/separate customer
- 250K limitation on cash overage
- Industry-funded; not part of US Gov
Give this one a try later!
Securities Investor Protection
Limit Order
Act of 1970 (SIPA)
, Telephone Consumer Protection
Order Qualifiers
Act
Don't know?
5 of 223
Definition
Corporations and gov raise funds through issuance of publicly
traded loans. This is a security that represent the amount of principal
the issuer owes to the investor
- The investor that purchases this are creditors of the issuer and lend
money for a specific period until it matures
- If the issuer misses an interest or principal payment, its considered
a default
Give this one a try later!
Identity Theft Prevention Holding Customer Mail
Issuing Debt Securities; Bonds Registrars and Transfer Agents
Don't know?
