Term
| beyond a reasonable doubt |
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Definition
| burden of proof in criminal case in which if the jury has any reasonable doubt the verdict must be "not guilty" |
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Definition
| Testimony that may subject the testifier to criminal prosecution. protected by 5th amendment. |
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Definition
| act of accepting and giving legal force to an obligation that previously was not enforceable. |
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Definition
| buying and selling of securities using information that has not been made public. |
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Definition
| private placement - small offerings - intrastate |
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Definition
| legal responsibility placed on one person for the acts of another. |
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Definition
| reward giving for reporting illegal activity |
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Term
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Definition
| lesser crime than a felony, punishable by fine or up to one year in jail. |
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Term
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Definition
| reasonable grounds for believing that a person should be arrested or searched. |
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Definition
| falsely reporting illegally obtained income as income earned through a legitimate business. |
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Definition
| nonviolent crime committed by individuals or corporations to obtain a personal or business advantage. |
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Term
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Definition
| "let the master respond" doctrine under which a principal is liable for wrongful acts committed by agents. |
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Term
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Definition
| specific type of investment company that continuously buys and sells to investors shares of ownership in a portfolio. |
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Term
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Definition
| governs initial sale of stock, prohibits various forms of fraud and requires all essential info concerning securities to be available to the public |
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Term
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Definition
| requires continuous periodic disclosure of financial info to SEC |
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Term
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Definition
| policies and procedures that outline the operations of a corporation |
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Term
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Definition
| prohibits falsely reporting or omitting a material fact related to the purchase or sale of any security |
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Term
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Definition
| company that acts for shareholders by buying a large portfolio of securities and professionally manages it. |
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Term
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Definition
| fraudulent making or altering of any writing that changes the legal rights and liabilities of another. |
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Term
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Definition
| voluntary agreement to a proposition or an act of another |
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Term
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Definition
| preliminary prospectus that can be distributed to potential investors after registration statement has been filed with SEC |
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Term
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Definition
| authority that is only apparent, not real. principle causes a third party to reasonably believe that an agent has authority to act. |
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Term
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Definition
| imposes strict disclosure requirements and harsh penalties. chief corp execs are responsible for accuracy. |
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Term
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Definition
| written document that describes securities being sold, financial operations of the issuing corporation and the investment risk attaching to the securities. |
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Term
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Definition
| works for an employer but working conditions and methods are not controlled by the employer |
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Term
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Definition
| sophisticated investors such as banks, insurance companies, and investment companies |
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Term
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Definition
| ad of securities offering, tells potential investors where and how they may obtain a prospectus |
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Term
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Definition
| a person having a duty created by his or her undertaking to act primarily for another's benefit. |
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Term
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Definition
| computer program that can independently initiate an action electronically |
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Term
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Definition
| fraudulent appropriation of funds or other property by a person who the funds has been entrusted. |
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Term
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Definition
| relationship between two parties in which on party (agent) agrees to represent or act for the other (principle). |
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Term
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Definition
| unlawful pressure brought to bear on a person, causing the person to perform an act that she or he would not otherwise perform. |
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Term
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Definition
| least serious crime, usually a building code or traffic violation. |
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Term
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Definition
| stealing another's identifying info and using it to access the victim's financial resources. |
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Term
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Definition
| a defense in which the defendant claims that he or she was induced by a public official to commit a crime. |
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Term
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Definition
| order granted by public authority that authorizes law enforcement to search a particular premise or property. |
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Term
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Definition
| wrongful taking and carrying away of another person's personal property with the intent to permanently deprive the owner of the property. |
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Term
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Definition
| legally recognized privilege to protect oneself or one's property again injury by another. |
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