Regulators & Agencies
Treasurer of the United States and Oversees collection of taxes.
Who is the Department of Treasury & the IRS?
Files with the state at the same time it files with the SEC -->usually intrastate.
What is Coordination?
The most basic type of security.
What is a Common Stock?
A general increase in prices & economic growth
What is INFLATION?
This interest rate NEVER CHANGES on an outstanding bond.
What is the COUPON RATE?
Oversees member state and national banks. They're responsible for the monetary supply.
Who is FRB?
Issuer responds to state specific requirements. Most difficult way
What is registration by Qualification?
Offered for less than $5 and is often unsolicited.
What is a Penny Stock?
A general decrease in prices & unemployment rises (usually during severe recessions)
What is a DEFLATION?
The domination of the bond issue which is usually $1000.
What is PAR?
Covers customers in the event their broker/dealer goes insolvent - not market loss.
Who is SIPC?
Listed securities or investment companies that are federally covered sends notice and filing fees to each state
What is Notice Filing?
They must register with the SEC before being marketed and sold.
What are NONEXEMPT SECURITIES?
Factors that change after the economy shifts, measuring long-term versus short-term trends.
What is are LAGGING INDICATORS?
Exports are up, imports are down and domestic rates are higher than foreign rates with an increase in foreign investors buying US securities.
What is Increase in Surplus?
They regulate all trading markets and exchanges.
Who is the SEC?
These securities do not register with the SEC and the purchaser is given an offering circulation or program disclosure.
What is an Exempt Security?
This security has priority over common stock in a dissolution and has a fixed dividend with a par value of $100.
What is Preferred Stock?
Periods of slow, little economic growth & high unemployment
What is a STAGNATION?
Imports are up, Exports are down and foreign rates are higher than domestic rates with an increase in US investors buying foreign securities.
What is Increase in Deficit?
Covers customers in the event their bank goes insolvent.
Who is the FDIC?
Regulation A, Regulation D, Rule 147 and Regulation S are all examples of this type of transaction.
Who is an Exempt Transaction?
These are offered as sweeteners with other investments to make them more desirable.
What are Warrants?
DAILY DOUBLE
Longer, more severe contractions (6 consecutive quarters = 18 months) & longer, more severe contractions (6 consecutive quarters = 18 months) are known as...
What is Depression & Recession?
DAILY DOUBLE
Value (or measure) of one country’s currency to another country’s currency
Affects balance of trade (imports and exports).
What are Exchange Rates?