Asked by Regina Orzechowski on Jun 30, 2024
Verified
A(n) ________ is a person who controls, is controlled by, or is in common control with the issuer.
A) affiliate
B) associate
C) partner
D) intervenor
E) trainer
Affiliate
A business enterprise located in one state that is directly or indirectly owned and controlled by a company located in another state. Also called foreign subsidiary.
Issuer
An issuer is an entity that releases securities into the market for investors to purchase, often to raise capital for the entity's operations or projects.
Control
refers to having the power to direct the management and policies of a company, often through the ownership of a majority of shares.
- Comprehend the regulatory structure governing securities trading, as well as the functions of particular acts and amendments in financial regulation.
Verified Answer
Learning Objectives
- Comprehend the regulatory structure governing securities trading, as well as the functions of particular acts and amendments in financial regulation.
Related questions
Which of the Following Permits the SEC to Seek Punishment ...
The Securities and Exchange Commission Was Created by Which of ...
The Securities and Exchange Commission Is Responsible For ...
The Document Which Details the Issuer's Finances and Must Be ...
The ________ Created the Securities and Exchange Commission ...