Multiple Choice
The Securities Enforcement Remedies and Penny Stock Reform Act of 1990 granted the SEC power:
A) to issue cease-and-desist orders.
B) to impose civil penalties up to $1,000,000.
C) to bring civil actions for specified violations of the 1934 Act against aiders and abettors.
D) All of these.
Correct Answer:
Verified
Correct Answer:
Verified
Q51: Under Rule 505,the issuer must:<br>A) not advertise.<br>B)
Q52: The Securities Act of 1933 has two
Q53: Under the 1934 Act:<br>A) criminal sanctions may
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Q55: A writing signed by a shareholder,granting authority
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Q59: The SEC's computer system that performs automated
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