Examlex
Mailing direct offers to individuals who have purchased in the past, but not recently, will usually yield better results than a cold-call mailing list from a broker.
Noninvestment Company
An entity primarily engaged in operations other than investing, reinvesting, or trading in securities and does not qualify as an investment company under relevant regulations.
1933 Act
The U.S. Securities Act of 1933, a federal law enacted as a result of the stock market crash of 1929, aimed at regulating the securities market and protecting investors.
Registration Statement
A set of documents, including a prospectus, filed with a regulatory body like the SEC by companies wishing to issue public shares.
Material Misstatements
False or inaccurate statements that are significant enough to impact an investor's or decision-maker's judgment.
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