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51. What is a
wrap-around filing
?
52. What is included in Part I of a securities registration statement?
53. What is included in Part II of a securities registration statement?
54. What is
blue sky legislation
?
55. How are the operations of the SEC funded?
56. What was the purpose of the
Securities Act of 1933
?
57. What was the purpose of the
Securities Exchange Act of 1934
?
58. What is the purpose of the SEC's
Regulation S-K
?
59. Why is the SEC's
Rule 14c-3
important to the accounting profession?
60. When is the SEC's
Registration Form S-4
used?
61. When must
Form 8-K
be filed with the SEC?
62. Briefly describe
Regulation S-K
. What is its purpose?
63. What is a
proxy
? Briefly explain the importance of a
proxy solicitation
.
64. What are the responsibilities of the SEC's
Division of Corporation
Finance
?
65. What are the four interconnected goals that the SEC has tried to achieve?
66. What is required by the
Trust Indenture Act of 1939
?
67. What information needs to be included in
Form 10-Q
?
68. What are some of the reasons for the corporate scandals of 2001 and
2002?
69. Why was the Public Utility Holding Company Act of 1935 created?
70. What information is required in proxy statements?
71. What Federal agency has Congressional responsibility to create auditing
and accounting standards?
72. How has the Sarbanes-Oxley Act of 2002 changed the role of the audit
committee?
73. What is the primary focus of the Sarbanes-Oxley Act of 2002?
74. Who has the responsibility for the evaluation of the quality of an
investment?
75. Name the two broad categories of filings with the SEC.
76. Name five securities offerings exempt from registration with the SEC.
77. Describe the two parts of the SEC registration statement.
