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| Security: A certificate that permits the owner to purchase a certain number of shares, or, frequently, a fractional share of new stock from the issuer at a specific price. Rights are issued to existing stockholders in proportion to the number of shares the stockholders already own. Rights then may be combined with cash to purchase the new shares or they may be sold to other investors. Rights usually have value because they permit the owner to purchase shares of stock at less than the market price. |
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| Security: a warrant entitles the holder to buy stock of the issuing company at a specified price, which can be higher or lower than the stock price at time of issue. Warrants are frequently attached to bonds or preferred stock as a sweetener, allowing the issuer to pay lower interest rates or dividends. |
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| Collateral Trust Certificate |
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| Other evidence of indebtedness |
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| Interest in a profit-sharing agreement |
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| Variable life insurance policy |
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| Certificate of interest in an oil and gas drilling program |
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| Whiskey warehouse receipts |
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| Security: Represent a share in a quantity of whiskey being aged for future sales. Can be traded |
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| Multilevel distributorship arrangements |
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| Security: Ponzi like pyramid scheme |
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| Merchandising marketing schemes |
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| Security: Ponzi like pyramid scheme |
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| Option on a commodity futures contract |
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| Security: Four part test - 1) An investment of Money 2) A common enterprise 3) an expectation of profits 4) solely from the efforts of others |
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| Any insurance product that DOES NOT include the word VARIABLE |
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| Art, antiques, and other collectibles |
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| Security: employee voluntary contributions to a Keogh plan |
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| Any person who issues or proposes to issue a security |
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| - Corporation, - Partnership or association, - Joint stock company, - Trust where the interests of the beneficiaries are evidenced by securities - Unicorporated organization, - Government of governmental body |
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| Transaction or distribution is one that is not directly or indirectly for the benefit of the issuer. |
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| A security must be registered in a STATE before it can be sold there |
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| Any person in the business of effecting transactions in securities for its own account or the accounts of others |
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| A person that has no place of business in the state AND only transacts business with issuers, other BDs, financial institutions, or institutional buyers. |
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| Any individual who represents a BD or issuer in effecting transactions in securities |
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| An individual represents an issuer in effecting transactions in U.S. Govt securities |
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| An individual represents an issuer in effecting transactions in Canadian govt securities |
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| An individual represents an issuer in effecting transactions in Muni notes and bonds |
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| An individual represents an issuer in effecting transactions in Securities of banks, trust companies, and savings institutions |
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| An individual represents an issuer in effecting transactions in Commercial paper with a maturity of nine months |
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| An individual represents an issuer in effecting transactions in investment contracts for employees such as savings plans, profit sharing and pension plans, and stock repurchase plans |
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| An individual represents an issuer in effecting transactions in Chinese govt securities |
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| An individual represents an issuer in effecting transactions in Commercial paper with a maturity of twelve months |
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| An individual represents an issuer in effecting transactions in corporate bonds |
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| An individual represents an issuer in effecting transactions in Securities of REITs |
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| 1) provides ADVICE about securities 2) Providing these services as a BUSINESS, 3) Receiving COMPENSATION for these services |
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| Not an investment adviser |
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| Banks, Savings institutions or trust companies; publishers of newspapers, etc.; investment adviser representatives |
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| Anyone who receives a fee or a percentage of the business for referring clients to an investment adviser but is not directly supervised by the adviser |
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