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Corporate Formation
Company Research
Administrative Law
SEC Filings
SEC Publications
100
State where the majority of the Fortune 500 companies are incorporated.
What is Delaware?
100
This is the total value of the issued shares of a publicly traded company.
What is market capitalization?
100
Rules promulgated by agencies.
What are regulations?
100
This is the SEC's electronic filing system. Bonus if you remember what it stands for!
What is EDGAR? Electronic Data Gathering, Analysis, and Retrieval.
100
Releases involving SEC litigation.
What are litigation releases?
200
Basic corporate formation document filed with the Secretary of State or Division of Corporations.
What is the Certificate of Incorporation or Articles of Incorporation?
200
Abbreviation used to uniquely identify publicly traded shares of a particular stock on a particular stock market.
What is a ticker symbol?
200
Preliminary regulation published by an agency for public comment.
What is a proposed rule?
200
Form used for annual reports pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934.
What is a 10-K?
200
Letter from SEC staff to a particular person or entity in response to an inquiry as to whether a particular product, service, or action would constitute a violation of the federal securities law.
What are no-action letters?
300
Document that describes how a corporation is governed, who its officers are, etc.
What are by-laws?
300
Document produced annually to give shareholders and other interested people information about a company's activities and financial performance.
What is an annual report?
300
Daily publication of the U.S. Government providing legal notice of administrative rules and notices.
What is the Federal Register?
300
Form used for quarterly reports pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
What is a 10-Q?
300
Bulletins which summarize staff views regarding various aspects of securities laws and regulations.
What are staff legal bulletins?
400
Certificate issued by the designated state authority to verify that a corporation exists, has paid all of its statutory dues, has met all filing requirements, and is authorized to do business in that state.
What is a Certificate of Good Standing?
400
Databases covered in class where you can find company information.
What are Mergent, Hoover's, Standard & Poor's NetAdvantage, and Bloomberg Law?
400
Annual codification of the general and permanent rules published in the Federal Register by the executive departments and agencies of the Federal Government.
What is the Code of Federal Regulations or CFR?
400
Form used for current reports under Section 13 or 15(d) of the Securities Exchange Act of 1934 and for reports of nonpublic information required to be disclosed by Regulation FD.
What is an 8-K?
400
Releases where the SEC publishes its views and interprets federal securities laws and SEC regulations, providing guidance on topics of general interest.
What are interpretive releases?
500
Business or individual designated to receive service of process on behalf of a business when the entity is a party in a legal action.
What is a registered agent?
500
Section of a company website which typically has company information like stock performance, annual reports, and corporate governance documents.
What is investor relations?
500
Type of Congressional legislation which creates agencies and identifies their authority.
What is enabling legislation / enabling authority?
500
Initial registration form for new securities required by the SEC for public companies.
What is an S-1?
500
Online publication which provides an ongoing serial record of SEC regulatory and enforcement releases.
What is the SEC Docket?