Technical / Fundamental Analysis
A bearish breakout occurs when a stock declines below this level
Support level
Sales charge is calculated as a percentage of this amount
Public Offering Price (POP)
This regulation allows underwriters to purchase up to 15% more shares from the issuer for an oversubscribed issue
Green Shoe Clause
This term is a synonym for coupon rate
Nominal yield or interest rate
Customer complaints must be kept on file for this amount of time
4 years
The amount of non-diversifiable (systematic) risk associated with a particular portfolio or asset is measured as this
Beta
Letters of intent are valid for this amount of time
13 months
This type of bid is the only form of price manipulation permitted by the SEC
Stabilization
Accrued interest on municipal bonds is calculated using this many days in a year
360
Regulation D offerings are permitted to be sold to no more than this many unaccredited investors
35
This theory analyzes the amount of a company's stock that has been shorted and not yet covered
Short Interest Theory
An investor wanting to purchase mutual funds for a period of 1 year would be best suited with this class of mutual fund shares
Class C shares
Before the sale of restricted stock, this form must be filed with the SEC
Form 144
This term describes the process of adjusting the basis of an Original Issue Discount bond up to par over its life
accretion
Trade confirmations must be sent at or before this time
Completion of the transaction (settlement)
This theory states that investors prefer the lowest possible level of risk for a given return
Modern Portfolio Theory
These are the three different types of investment companies
Face Amount Certificate Companies, Unit Investment Trusts (UITs), and Management Companies
This is the maximum dollar amount of securities that can be sold in a Regulation A offering
$75 million
GNMA, FNMA, and FHLMC pass-through certificates pay interest with this frequency
Monthly
An owner of restricted or control stock for a reporting company must hold the shares for this amount of time before they are permitted to sell
6 months
Annual Dividend / EPS
Dividend payout ratio
The maximum permissible amount of a 12b-1 fee is this
This is the highest price at which a stabilizing bid may be placed
POP
The number of municipals expected to reach the market in the next 30 days is represented by this figure
Visible Supply
Rule 145 dictates that these three types of securities reclassifications require a new registration filing.
- Substitutions
- Transfer of assets
- Mergers/ acquisitions/ consolidations