Chapter 42

1. Preferred and common stocks, bonds, debentures, and stock warrants.
2. Stock options, puts, and calls, that involve the right to purchase a ... or a group of ... on a national .... exchange.
3. Notes, instruments, or other evidence of indebtedness, including certificates of interest in a profit-sharing agreement and certificates of deposit.
4. Any fractional undivided interest in oil, gas, or other mineral rights.
5. Investment contracts, which include interest in limited partnerships and other investment schemes.

This is any transaction in which a person (1) invests (2) in a common enterprise (3) reasonably expecting profits (4) derived primarily or substantially from others' managerial or entrepreneurial efforts.

This is a disclosure document that describes the security being sold, the financial operations of the issuing corporation, and the investment or risk attaching to the security.

This is any type of written, electronic, or graphic offer that describes the issuer or its securities and includes a legend indicating that the investor may obtain the prospectus at the SEC's website.

A sophisticated investor, such as a bank, an insurance company, or a person whose income or net worth exceeds a certain amount.

A firm that buys a large portfolio of securities and professionally manages it on behalf of many smaller shareholders/owners.

A well-known type of investment company.