Card 101
Question
Tender Offer
Answer
Offer to more than 10 percent of the shareholders of a firm for the purchase of their shares; generally part of a takeover effort.
Final 305
Discover Final 305: 108 flashcards with questions and answers.
- Subject
- No category / Others
- Language of creation
- English
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Cards in this set
Card 102
Question
Tippee
Answer
Party who receives inside information about a corporation or its securities and uses the information to trade securities.
Card 103
Question
Tombstone Ad
Answer
Ad run in newspapers announcing an upcoming securities offering; permissible after the registration statement is filed but not yet effective; must indicate it is not an offer for sale.
Card 104
Question
Williams Act
Answer
Federal law governing the tender offer process.
Card 105
Question
10-K Form
Answer
Annual report filed with the SEC; required of all 1934 Act firms.
Card 106
Question
10-Q Form
Answer
Quarterly report filed with the SEC; required of all 1934 Act firms.
Card 107
Question
8-K Form
Answer
A filing required by the SEC under the 1934 Securities Act; an 8-K is filed by a registered company within ten days of a significant or material event affecting the company (e.g., a dividend being suspended).
Card 108
Question
“Fair-Disclosure Rule” (Regulation FD)
Answer
Federal securities regulation that requires publicly traded companies to distribute information to the market as a whole and not to selected investment firms, analysts, or investors; a means of distributing to the market in a fair and open fashion the financial reports and pending and evolving issues of publicly traded company.
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