Ch1: Corporate Securities Registration & Disclosure

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Last updated 3:43 PM on 6/29/26
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8 Terms

1
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The primary market is

only issuers raising capital (and receiving the money) by selling securities

2
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Prospectus:

the disclosure document that details the newly registered securities to investors

3
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prospectus →

corporate securities, disclosures material information (stocks like IPO or follow on, bonds in primary markets)

4
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summary prospectus →

mutual funds (key disclosures only, mutual funds always continuous registration since every share is a new share)

5
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trust indenture →

bonds, a series of covenants (promises) between the issuer and trustee for bondholders

6
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How long is a shelf registration valid?

3 years

7
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A trust indenture is required only for corporate bonds issuance …

greater than $50 million (off of a shelf registration)

8
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The role of a selling group (brought in by an underwriter) is to …

increase bond marketability (to sell more)