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Series 99

Opq examinations

TermDefinition
Nyse 1792
When did the stock market crash 1929
The securities act of 1933 The first federal regulation of these markets. A set of guidelines concerning full and fair disclosure in the primary market . Prospectus. Red herring.
The securities exchange act of 1934 2nd major piece of legislation. Was designed to regulate trading.
Pop Public offering price
During the cooling off period. Underwriters are not permitted to - discuss the issue -provide the red herring ( a priliminary prospectus which includes price range -record the names of potential purchasers
USA Uniform securities act/ often referred as blue sky laws- to protect investors from fraudulent security dealings
Effective date Represents the end of the cooling off period and the beginning of the post effective period. Generally the effective date is 20 days after the first amendment in response to the deficiency letter.
Created by: Krpeynado
 

 



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