Multiple Choice
According to Section 10(b) and Rule 10b-5 of the Securities Exchange Act of 1934,which of the following constitute(s) a material omission or misrepresentation during a securities transaction?
A) A change in the status of litigation against the company.
B) A change in dividends.
C) A new product,process,or discovery.
D) A change in the status of litigation against the company; a change in dividends; or a new product,process,or discovery.
E) A change in the status of litigation against the company or a change in dividends,but not a new product,process or discovery.
Correct Answer:

Verified
Correct Answer:
Verified
Q1: The average investor must register securities when
Q2: Why did the United States Congress pass
Q4: The Investment Company Act of 1940 recognizes
Q5: Presidential Profits.Linda was president of a publicly
Q6: The Securities and Exchange Commission is an
Q7: Issuers who make private offerings of securities
Q8: _ of the Securities Exchange Act of
Q9: Coffee shops.Bernice wants to open a chain
Q10: Which of the following permits qualified issuers
Q11: A person who violates the Securities Act