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Series 6

Unit 2 Section 3

QuestionAnswer
Margin The amount of equity contributed by a customer as a percentage of the current market value of the securities held in a mergin account.
N1-A Prospectus/ Part 1 One of two parts of a registration statment that an investment company must file that says a prospectus must be furnished to every person to whom the company offers securities. They must have precise summary of the info contained within the prospectus.
Statement of Additional Information (SAI)/ Part 2 A document containing information that need not be furnished to every purchaser but must be made available for public inspection.
Final Prospectus The legal document that states a new issue security's price, delivery date, and underwriting spread, as well as other material information. It must be given to every investor who purchases a new issue of registered securities.
Registration Statement The legal doc that discloses all pertinent info concerning an offering of a sec and its issuer. It is sub to the SEC in accordance with the requirementos of the Sec Act of 1933, and it forms the basis of the final prospectus distributed to investors.
Created by: ericjrolon