registered broker
A broker registered or required to be registered under the Securities Exchange Act of 1934. [Cases: Securities Regulation 40.12. C.J.S. Securities Regulation §§ 157–158, 165.]
Search Results for: REGULATION Q
visitation
visitation (viz-[schwa]-tay-sh[schwa]n). 1. Inspection; superintendence; direction; regulation. 2. Family law. A relative’s, esp. a noncustodial parent’s, period of access to a child. — Also termed parental access; access; parenting time; residential time. [Cases: Child Custody 175–231.] 3. The process of inquiring into and correcting corporate irregularities. [Cases: Corporations 394. C.J.S. Corporations § 582.] 4. VISIT.
departure
departure, n. 1. A deviation or divergence from a standard rule, regulation, measurement, or course of conduct (an impermissible departure from sentencing guidelines). downward departure. In the federal sentencing guidelines, a court’s imposition of a sentence more lenient than the standard guidelines propose, as when the court concludes that a criminal’s history is less serious
zone
zone. 1. An area that is different or is distinguished from surrounding areas ( zone of danger). 2. An area in a city or town that, through zoning regulations, is under particular restrictions as to building size, land use, and the like (the capitol is at the center of the height-restriction zone). [Cases: Zoning and
abbreviated term sheet
A term sheet that includes (1) the description of the securities as required by Item 202 of SEC Regulation S–K, or a good summary of that information; and (2) all material changes to the issuer’s affairs required to be disclosed on SEC Form S–3 or F–3, as applicable.
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trade dress
Trademarks. The overall appearance and image in the marketplace of a product or a commercial enterprise. • For a product, trade dress typically comprises packaging and labeling. For an enterprise, it typically comprises design and decor. If a trade dress is distinctive and nonfunctional, it may be protected under trademark law. — Also termed get-up;
consumer loan
A loan that is given to an individual for family, household, personal, or agricultural purposes and that is generally governed by truth-in-lending statutes and regulations. [Cases: Consumer Credit 1. C.J.S. Interest and Usury; Consumer Credit § 274.]
preliminary prospectus
A prospectus for a stock issue that has been filed but not yet approved by the SEC. • The SEC requires such a prospectus to contain a notice — printed in distinctive red lettering — that the document is not complete or final. That notice, which is usu. stamped or printed in red ink, typically
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securities act of 1933
Securities Act of 1933. The federal law regulating the registration and initial public offering of securities, with an emphasis on full public disclosure of financial and other information. 15 USCA §§ 77a–77aa. — Also termed Securities Act; 1933 Act. [Cases: Securities Regulation 11.10–30.15. C.J.S. Securities Regulation§§ 8, 23, 35–102.]
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trading
trading. The business of buying and selling, esp. of commodities and securities. [Cases: Commodity Futures Trading Regulation 11; Securities Regulation 35.10–67.15. C.J.S. Securities Regulation §§ 103–241, 273, 456.] day trading. The act or practice of buying and selling stock shares or other securities on the same day, esp. over the Internet, usu. for the purpose