Business buzzwords: Unregistered securities

Please choose the most appropriate answer for each sentence.
  • 1

    An unregistered security may be sold by a broker, but specific documentation must be completed by the owner and presented to a broker before a sell order can be placed; moreover, this ..... security may not be sold for at least two years from the date of purchase.

  • 2

    ..... violations involve a brokerage house or bank keeping a client's stock in its own name in disregard of its reporting requirements; such an act may allow the client to temporarily bypass his margin requirements, keep secret his position in a company, or stay within limits imposed by other rules.

  • 3

    Now that investors are loath to believe anything good about a public company, con artists are finding that a new tactic, the '.....' scam, is working better; with this strategy, scammers profit by selling while gambling that a stock will decline - and subsequently forcing shares down by spreading nasty rumors about the company.

  • 4

    Plug Power (NASDAQ: PLUG) Long Recommendation: Seems to be reaching stops - weak ..... shaken out - may hold $4 - add $3.50.

  • 5

    In the 1960s and 1970s, a group of bond dealers known as the Memphis Bond Daddies were notorious for their unscrupulous methods of selling tax-exempt bonds to the elderly; eventually closed down by regulators, their role was to dispose of the ..... generated as Collateralized Mortgage Obligations were sliced into more and increasingly complex tranches.

  • 6

    Government ..... shares have their risks and their costs: the full benefits of privatization will not be realized, for example, if management is completely protected from every sort of takeover, and the device could be abused by less scrupulous governments in order to maintain political control over an enterprise while nominally privatising it.

  • 7

    I personally favour, as long as it is open, what is called the '.....', all the cards on the table, everybody in the whole world knows what you are auctioning; the market will adjust immediately at that point and people will pay the price of it.

  • 8

    My first experience as an investor looking at companies trading below ..... value was to buy the stock: how could I lose? - one could liquidate the company and make money at the very least.

  • 9

    The NYSE and the Chicago Mercantile Exchange agreed to impose restrictions when prices begin falling out of control; one safeguard is a shock ....., a half-an-hour price floor that goes into effect on the S&P's 500 index whenever it drops on the Merc by the equivalent of about 96 points on the Dow Jones average.

  • 10

    The human genome may go down in history as the biggest ..... for humanity: it cost a lot and is useless, it does not work, and is so expensive to maintain and grows so big so fast that it will bankrupt the industry as well as entire nations.

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