Home > Flashcards > Finance > Series 63

Details Title: Series 63 Description: Securities Total Flash Cards: 16 Created: 12/05/2004 05:22:50	To study from this set of flash cards, or to create your own your own study flash cards, register HERE. If you are already a registered user, CLICK HERE.
Cards Term 1 Definition What types of Issues are classified as Securities? Term 2 Definition List some examples of Corporate Issues. Term 3 Definition What specific securities are examples of Government Issues? Term 4 Definition Why are Network Marketing arrangements defined as securities? Term 5 Definition What issues are specifically excluded from the definition of a Security? Term 6 Definition What types of securities are defined as Exempt Securities? Term 7 Definition What falls under the definition of a Sale or Offer to Sell a security? Term 8 Definition What is included in a Registration Statement? Term 9 Definition The Uniform Securities Act provides for the registration of Securities by what methods? Term 10 Definition Where available, what required conditions must exist for the registration of Securities by Filing? Term 11 Definition The registion statement for a registion by filing must contain a consent to service of process, and other papers containing what other information? Term 12 Definition To register by Coordination, the issuer must file the consent to service of process, the registration statement, and what additional information to the State? Term 13 Definition To register by Qualification, what information is required for the filing? Term 14 Definition What are the primary reasons the Administration might use its authority to issue a stop order denying the effectiveness of a registration statement, or may suspend or revoke the registration of an issue? Term 15 Definition How does the Uniform Securities Act define Federal Covered Securities? Term 16 Definition How does the Uniform Securities Act specify an exempt security?