security unit 1 equity securities

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162 Terms

1
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stock

represent quietly

2
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bonds

represent debt

3
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another word for stock and bond

equity and debt

4
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company issues {sell] stock to

rise capital gain [money]

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capital appreciation by sharing in a company earing through distribution of profits is called

dividend's

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one stock unit called

a share

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sell stock to rise

capital money

8
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investors are called

stockholder or shareholders

9
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in most coprations the ,,,,,,, elects individuals' to board of directors to observed company business

stockholders

10
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common stock issued outstanding treasury

authorized

11
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common stock authorized outstanding treasury

issued

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common stock authorized issued treasury

outstand standing

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common stock authorized issued outstanding

treasury

14
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the charter is filed with the state in which the corporation chooses to be

domiciled

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who choses the domiciled

the founders of the business

16
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issued stock

authorized stock that has been sold to investors

17
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outstanding stock

includes all share that a company has in the hands of the investor

18
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the broke dealer bd must

receive a signed acknowledgement from the customer that the document has been received

19
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treasury stock

is a stock a corporation has issued and then later bought back

20
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common stocks are categorized by

size of cooperation

21
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capitalization [market cap]

measurement of size of cooperation

22
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cooperation market cap is determined by

multiplying number of outstanding shares by current market value cmv of a share outstanding share x cmv

23
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large cap stocks

large cap company are largest companies

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blue chips stock

the large cap company have a long history of steady dividends payments

25
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large cap stocks have a market capitalizations

excess of 10 billion dollars

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a company that is too large to be a small cap but not large enough to be a large cap is a

mid cap

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the smallest company that are large enough to be listed in the new York stock exchange are

small stock

28
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small cap have a market of

250 million to 2 billion

29
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penny stock is

$ 5 per share

30
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equity securites are defied as

penny stock

31
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penny stock is considered

highly speculative

32
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security and exchange commission sec rules require

customers be given copy of risk disclosure document before there initial transaction in a penny stock

33
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what dose the penny stock discourse contain

describes the risks associate with penny stock investments'

34
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iou

bonds that investor holds

35
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penny stocks required

send activity if the account holds penny stock pd shares and insurer name

36
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a bds reppresentive may contact a potentionl costumer if

purshasing penny stock

37
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sedc rules state that resprestive must determe

suarbillity on information qbout cosutomer financel stiuatuon and objrctives

38
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in a penny stock calling the custumer must

SIgn and daat suirbilty before any penny stocks

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bd disclosed

name of penny stock

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bd disclosed numeber of shares

number of shares

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bd disclosed

current quotiaon

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bd disclosed

amount of commisin resprestibe will recive

43
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establishments consumers are expect from suitability statement requirements if

has held one year of bd account

44
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establishments consumers are except from suitability statement requirements if

has made 3 penny stock issuers on different days

45
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provision of penny stock only apply if

solicited transactions that occur during cold call

46
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unsliliced transations not remcomended by bd regesgirted represetive are

expent from those rules suitablity and disclosure

47
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stock holder

owner of copration

48
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stock holders are entitled to a dividend

if the board of director authorize one

49
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who may vote for who sits on the board

stock holder

50
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who may vote to sell shares and stocks

stock holders

51
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dividents are distribiued to

company profit its shareholders

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ivestors who buy stock

are intitled to divdents

53
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declaration

invsetors who buy stock

54
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share holders are sent diviends based on

how many shares they own

55
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dividends in

cash

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dividends in

stock

57
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dividend's in

products

58
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dividend's are normally disturbed in

checks if investor holds the stock certificate or the are automatically deposit

59
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cash dividend's are deposit into a brokerage account if

shares are held in a brokerage account held in street name

60
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cash dividends are typically paid

quaterly

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cash dividend's are taxed

in the year they are distributed

62
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in questions involving

cash dividend from stock assume quarterly dividend unless the question's says otherwise

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cash dividends are

taxed as either nonqualified

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cash dividends are taxed at the

investor's ordinary income tax rate or qualified

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the maxims tax rate on qualified dividends are

specified current irs tax code and depend on on investor tax income

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the higher the investor income

the higher tax on qualified dividends will be to the specific amount

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history

rate lower investor's ordinary income tax rate are not tested

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a company may wanna ..............then cash dividend's

reinvest its profit

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in place of cash bond dividend the board may declare a

stock dividend's

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many growth company's

reinvest profit to use the cash for research and development

71
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in stock dividend's the company issues

additional share of its common stock to its current shareholder instead of cash

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the shareholder owns

more shares after distribution but the cost per share is adjusted down so the total cost of shares owned by each share holder dose not change

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the stock dividend's is

not taxable but the adjusted cost per share [new cost base ] will impact any capital gain's when the share are sold

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the shares are stock dividends come from authorized shares

comes from treasury stocks

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dividends from stock

cash dividend

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some companies will pay dividends by

sending sample of company procut to shareholder

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dividend disbursing possess

declaration date

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dividend disbursing possess

ex dividends date

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dividend disbursing possess

record date

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dividend disburng process

payable date

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declaration's date company approve a

dividend payment recognized as the date of the dividend was declared

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declaration date

board would designated the playable date and dividend record date

83
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exdividnt date

based on the dividend's record date the financial industry regularity authority [finra] or new york stock exchange

84
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the new york stock exchange declares a

ex dividend date

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the ex date is normally

as the same record date

86
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ex dividend most trades settle regular day

one business day after trade date

87
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exdividnts a custumer must puchancse the stock

at lest 1 business day before the record date to qualify for the dividends

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ex dividend another way to receive the dividends the stock

must be purchased before the ex dividend rate date

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ex dividend if stock is purchased after the ex date

the new entitled has purchased the ex meaning without the dividend therefore not entitled to receive it

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record date on payable date the diventeds disbursing agents

sends dividend's checks to all stock holders whose names record in the record as owners on as the record date

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disturbing cash dividends investor

are taxed for the tax year dividend's is paid based on the payable date

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drep

Declaration, Record, Ex dividend, Payable

93
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common stock holders enjooy

voting rights right to transfer shared right to matinen there perangage of owner shiip

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common stock holder

vote who sits on the board aka directors

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common stock holders att4end

meetings to cast a vote absentee proxy is made available for shareholders who want to vot4 but can't attend

96
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common stock holder

vote in company's issues name of company compatriot direction

97
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bylaw

stockholder have a statuary or cumulative

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statuary

allows stock

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Commutative Voting

Allows stockholders to locate their total votes in any manner they choose

100
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Statuary voting

Benefits, larger shareholders, whose commutative voting benefits, the smaller investor