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Essay

Securities Outliine

Essay specific features

 

Issue:

Miscellaneous

 

Written by:

Horace M

 

Date added:

October 29, 2014

 

Level:

University

 

Grade:

A

 

No of pages / words:

39 / 10745

 

Was viewed:

6491 times

 

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Essay content:

12(b)) i) National securities exchange: NYSE, Pacific Stock Exchange ii) Not a national securities exchange: NASDAQ (over the counter stock), private placements b) Company with a class of equity securities held of record by more than 500 persons (having record ownership, not beneficial ownership) and more than $10 million in assets (Section 12(g) and Rule12(g)-1) i) Reasoning: the company is so big that even though they don’t trade on a national exchange they are still affecting the markets and people are still investing their money into them ii) Equity Securities: non equity securities do not apply to 12(g) (1) Debentures are a non-equity security! iii) Held of record: beneficial ownership vs...
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record ownership (1) Record ownership: the broker is usually the record owner, hold the stock in street name c) Company that has sold securities to the public through a public offering and an effective registration statement must register and file certain periodic reporting disclosures as Section 12 companies must do under Section 13...
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