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law 11 - investors A True Intent to deceive or mislead is...

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Contracts to buy and sell securities are finalized during: B) the posteffective period Section 16 of the Securities Exchange Act of 1934 presumes that any profit made within a ________ period of receiving inside information is an illegal short swing profit. C) six month The Sarbanes-Oxley Act mandates that. A) the CEO certify financial statements Registration by ________ allows issuers to offer securities for sale automatically after a stated period of time unless action is taken by the administrative agency to prohibit the sale. D) Notification Section 10(b) and Rule 10b-5 implicitly provide private causes of action for the benefit of defrauded
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Unformatted text preview: investors. A) True Intent to deceive or mislead is called scienter. A) True An interest in a mineral right would not be considered to be a security. B) False The SEC enjoys quasi-judicial power allowing it to conduct investigations. A) True Plaintiffs under Rule 10b-5 are entitled to punitive damages. B) False Which of the following are factors that Congress never intended to be bona fide occupational qualifications? A) race and color...
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  • Spring '11
  • smith
  • Business, U.S. Securities and Exchange Commission, Securities Exchange Act, Securities Exchange Act of 1934, SEC Rule 10b-5, United States securities law, illegal short swing

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