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21 Cards in this Set
- Front
- Back
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What type of indicator is money supply? |
Leading |
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File what form when de-listing? |
6K |
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Layering prevents... |
Issuing additional senior subordinated notes |
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Is a fairness opinion required by law? |
No and does not allow directors to delegate responsibilities |
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Max issuance under Reg A |
$5mm |
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How long must securities be held for under Rule 147? |
9 months |
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When is customer suitability not required? |
Money Market Mutual Funds |
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Which type of acquisition is the fastest? |
Two-step merger |
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S-4 must be signed by? |
CEO, CFO and majority of board |
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Is the fairness opinion before or after the definitive agreement? |
Before |
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Short swing profits time period? |
1 year |
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Time for HSR approval? |
30 days |
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Principal market? |
Market with the largest trading volume over the last 12 months |
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Arbitration ends with what type of agreement |
Submission |
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Can seasoned issuers use a free writing prospectus? |
Yes |
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Is material issued after a prospectus considered a free writing prospectus? |
No |
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Is approval from the SEC required to be a broker-dealer? |
NO |
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Is the underwriting fee a component of the full takedown? |
Yes |
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How many accredited investors can be targeted under Regulation D?
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Unlimited |
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Underwriter acts as agent in what circumstances? |
Best efforts and mini-max |
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What is a schedule 14A |
Proxy Info |
