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Securities Regulation BVT Chapter 41

Horizontales
Law that applies to the secondary sale of securities
Law that applies to the initial sale of securities.
Communication from a corporation that is offering a security for sale.
A person with confidential information uses that information to trade.
Verticales
Sale of securities from the issuing corporation.
Instrument that grants to another the right to vote.
Purchase and sale of the issuer's equity securities within a six-month period.
Return of profits made by an individual on a securities trade to the corporation.
An intent to deceive