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Summary: Securities Regulation | Cox, et al
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Read the summary and the most important questions on Securities regulation | Cox, Hillman, Langevoort
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1 The Framework of Securities Regulation
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1.1 Securities Transactions
This is a preview. There are 24 more flashcards available for chapter 1.1
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Why do securities laws exist?
Because of the unique informational needs of investors. -
What does an investor need to decide whether to buy or sell a security?
Reliable information about such matters as the issuer's financial condition, products and markets, management and competitive and regulatory climate. -
In which two principal settings are securities bought and sold?
Issuer transactions and trading transactions. -
What is by far the most expedient form of issuer transaction?
The private placement of securities. -
What is primary distribution?
A public offering of securities to a large number of diverse investors. -
How do the selling efforts occur?
Through a syndicate of broker-dealers, known as underwriters. -
What are trading transactions?
The purchasing and selling of outstanding securities among investors. -
What is secundary distribution?
When individuals who control the securities' issuer wish to sell some of their shares. -
What are securities markets?
The facilities through which outstanding securities are publicly traded. -
Where can American securities divided in?
Equity, bond and derivative/options markets.
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