Multiple Choice
The provisions of Section 17(a) of the 1933 Act:
A) primarily allow for a private right of action for persons injured by the act.
B) make it unlawful to engage in any transaction, practice, or course of business that operates as deceit upon the issuer.
C) make it unlawful in the offer or sale of any securities to obtain property by any statement that omits a material fact without which the information is misleading.
D) None of these are true.
Correct Answer:
Verified
Correct Answer:
Verified
Q2: A solicitation of proxies from holders of
Q3: Dryler Corporation sold unregistered securities that were
Q4: The issuer of a registration statement has
Q5: The Securities Act of 1933 regulates tender
Q6: EDGAR is the computer system established by
Q7: The registration requirement of the 1934 Act
Q8: As amended in 1999 and 2017, SEC
Q9: The 1934 Act rules governing proxy solicitations
Q10: Only civil liability may be imposed for
Q11: SEC regulations concerning fraud in securities transactions