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30.
(p. 898)
Once an issuer files a registration statement and prospectus, the ______ period begins.
31.
(p. 898)
A[n] ______ prospectus is a prospectus with a warning written in red print at the top of
the page warning investors that the registration has been filed with the SEC but has not yet been
approved.
32.
(p. 898)
Which of the following references a brief ad that may be issued by an issuer during the
waiting period?
33.
(p. 898)
Which of the following begins when the SEC declares the registration statement effective,
and ends when the issuer sells all securities offered or withdraws them from sale?
34.
(p. 899)
Which of the following permits qualified issuers to register securities that they will sell on
a delayed or continuous basis in the future?
35.
(p. 900)
Which of the following is true regarding exempt transactions?
36.
(p. 900)
Which of the following
is not
considered an accredited investor?
37.
(p. 901)
Which of the following is
false
regarding what must occur in order for the exemption
involving intrastate issues to apply?
38.
(p. 911)
Which of the following is true regarding the case opener, the case in which Martha
Stewart was charged with insider trading after selling stock in a company based on information
that her stockbroker gave her that the CEO of the company and his daughter had just sold all of
their company stock?
39.
(p. 901)
Which of the following is a person who controls, is controlled by, or is in common control
with the issuer?
40.
(p. 904)
Which of the following prohibits the use of manipulative devices to bypass SEC rules?
41.
(p. 904)
Which of the following prohibits fraud associated with the purchase or sale of all
securities?
42.
(p. 904)
Which of the following is true regarding who may be considered an insider under the
Securities Exchange Act of 1934?
41-32
43.
(p. 904-905)
Which of the following is
not
an example of material information under Section
10(b) and Rule 10(b)-5?
44.
(p. 906)
Which of the following is a reason Congress passed the Private Securities Litigation
Reform Act of 1995?
45.
(p. 907)
Which of the following limits shareholders' ability to bring class action suits against
nationally traded companies?
46.
(p. 908)
Which of the following references a profit made by a statutory insider from the purchase
and sale of their own company stock within a six-month period?
47.
(p. 909)
Which of the following did Congress pass in an effort to prevent exploitation of small
investors?
48.
(p. 910)
Which of the following refer to state securities laws?
