Ch 2 Deck 21 Flashcards
Can be judged an ineligible issuer for not being current
in reporting
Can be judged an ineligible issuer for being this type of company
shell company
Can be judged an ineligible issuer for issuing this type of stock
penny stocks
Can be judged an ineligible issuer for having
violations
Access equals delivery model requires same
Content as paper version
Access equals delivery model requires notifying
investor in timely manner
Access equals delivery model requires notifying investor in timely manner. This means by the time
paper is out
Access equals delivery model requires access - being able to
print and save
Access equals delivery model requires, if in .pdf,
providing .pdf software
Access equals delivery model requires evidence
of delivery
Access equals delivery model requires evidence of delivery which includes
email return receipt
record of download
Exception to rule 5130 restrictions on BD’s retaining shares of an IPO for their own accounts to sell later only applies to
unsold shares
Exception to rule 5130 restrictions on BD’s retaining shares of an IPO for their own accounts to sell later requires that possibility of retention was
disclosed in the prospectus
Exception to rule 5130 restrictions on BD’s retaining shares of an IPO for their own accounts to sell later requires that it be subject
to a written agreement
Under Reg S one of these 3 must be true (1/3) buy order is
not made in the US
