law 3 - every: A) Three years. The Securities Act of 1933:...

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Which of the following parties is not required to comply with the Securities Act of 1933? A) Buyers. The party that participates in the original distribution of securities by selling such securities for the issuer or by guaranteeing their sale is called a/an: C) Underwriter. Under the 1934 Act, an individual found guilty of filing false or misleading documents with the SEC may be fined up to: D) $5,000,000. Which of the following is not a time period involved in the Act of 1933 registration process? C) Pre-effective period. Sarbanes-Oxley: B) Requires CEOs to certify financial statements. Sarbanes-Oxley requires that audit partners of the auditing firm rotate off of the engagement
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Unformatted text preview: every: A) Three years. The Securities Act of 1933: B) Specifies registration and disclosure requirements which must be met prior to the initial sale of securities. "Short swing profits" is the term applied to the presumption of illegality regarding profits made by an insider within a ________ month time period. B) Six. The misappropriation theory applies to: A) Temporary insiders conveying nonpublic information that was to be kept confidential. Scienter is: C) Acting with intent to deceive or mislead....
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This note was uploaded on 09/11/2011 for the course TERM 1 taught by Professor Smith during the Spring '11 term at FIT.

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law 3 - every: A) Three years. The Securities Act of 1933:...

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