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| Financial Industry Regulatory Authority |
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| $ exceeding par value of sale |
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Capital in excess of par
Par In surplus
Capital in surplus
Paid in Capital |
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| # Shares investors want to buy |
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| 1 vote per share per item-- benefits large shareholder |
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| allocates votes in anyway stockholder chooses benefits --small investor |
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| increases # shares ---reduces price of each share reduces value of each share |
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| Decreases # of shares---worth more per share increases price per share |
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| Must pay taxes because stock was sold |
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| Capital Gains- Unrealized |
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| Not taxable because no stock was sold |
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| taxable to individual tax free to corporations to 70% |
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| Issued stock-treasury stock |
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| Number of Shares that a corporation is permitted to issue |
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| Liquidation value of each share of common stock |
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| Dollar amount assigned to a share of stock by its issuer |
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Market Risk
Decrease or no income
Low Priority at dissolution |
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| Fixed income equity security first to receive dividends |
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| no specific features beyond stated dividend |
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| Cumulative Preferred Stock |
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| Any missed dividends must be paid to bring stockowner current prior to any common stock holder dividend payout |
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| Convertible Preferred Stock |
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| May convert at stated price per share to common stock |
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| Can be called or sold back to corporation at its request. usually sold at a premuim |
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| Shared profit after all dividends and interest paid and still a profit remains |
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| Adjustable rate Preferred stock |
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| variable rate of dividend---dividend date called reset date |
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| Characteristics of Preferred Stock |
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Fixed dividend
Par value has meaning
Not guaranteed
Usually no voting rights
No maturity date or maturity value |
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| Total Return common stock |
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| dividend + appreciation or decline of stock |
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| Taxable return - common stock |
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| Cash dividend (check if certificate held) (direct deposit if in street name) |
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| Non Taxable return on common stock |
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| Annual dividend/current market value of stock |
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Works for corp.
ensures securities are issued in correct name
Cancels old and issues new certificates
handles problems relating to lost, stolen or destroyed certificates, handles stock splits |
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Must be independent
Ensures corp does not exceed authorized number of shares |
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| (Committee on Uniform Securities Identification Procedures) Identifies securities |
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| date buyer will not receive dividnd |
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| National Association of Securities Dealers Automated Quotation System |
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