Multiple Choice
Federal regulation of the sale of securities is based on the:
A) Securities Act of 1933 and the Securities Exchange Act of 1934.
B) Securities Act of 1933 and the Federal Trade Act of 1936.
C) Federal Trade Act of 1936 and the Blue Sky Act of 1933.
D) Fair Stock Act of 1932 and the Investment Securities Act of 1934.
Correct Answer:
Verified
Correct Answer:
Verified
Q14: Under the 1990 Remedies Act, the SEC
Q15: The Securities Act of 1933 was created
Q16: The JOBS Act requires the SEC to
Q17: The registration process under Section 5 of
Q18: The _ requires the SEC to create
Q20: The SEC requires that annual shareholder reports
Q21: One of the key elements in the
Q22: Any shareholder owning more than five (5)
Q23: Forward looking statements, which involved SEC filings,
Q24: The Securities Act of 1933 act applies