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LWC

Chapter 37

TermDefinition
SEC - securities & exchange commission creates law in 3 different ways rules releases no-action letters
security buyer invest money buyer expects to earn profit
issuer the company that issues stock
securities exempt from registration government securities bank securities short-term notes nonprofit issues ins policies and annuity contract
initial public offering- IPO a company 1st public sale of securities
Rule 144- limits the resale of two types of securities control securities restricted securities
Created by: jgalindo
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