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Subject / Started by	Replies / Views	Last post
After the SEC completes its review of a preliminary registration statement, it sends the issuer a ... Started by Hungry!	3 Replies 95 Views	Jun 24, 2018 by carojassy25
Under JOBS, privately held companies can sell up to 1 million in securities in any 12-month period ... Started by nevelica	1 Replies 127 Views	Jun 24, 2018 by fauacakatahaias
Any securities offerings covered by the NSMIA must comply with state securities laws. Indicate ... Started by anshika	1 Replies 236 Views	Jun 24, 2018 by ryrychapman11
Premier Enterprises sold Watson unregistered stock which was not exempt. The 1933 Act imposes ... Started by burchfield96	1 Replies 87 Views	Jun 24, 2018 by jazzlynnnnn
The 1933 Act prohibits fraud only in transactions involving registered securities. Indicate whether ... Started by Kikoku	1 Replies 93 Views	Jun 24, 2018 by ttt030911
The 1934 Act requires companies with a class of stock that is publicly traded to make ongoing, ... Started by corkyiscool3328	1 Replies 105 Views	Jun 24, 2018 by sabina576
The SEC has enforcement powers, including the power to issue cease and desist orders, to levy fines, ... Started by ARLKQ	1 Replies 78 Views	Jun 24, 2018 by mrphibs
To recover for an alleged violation of SEC Rule 10(b)-5, a plaintiff is required to prove reliance ... Started by chandani	1 Replies 205 Views	Jun 24, 2018 by katheyjon
The tipper of inside information can be convicted of a crime, the tippee cannot. Indicate whether ... Started by jayhills49	3 Replies 251 Views	Jun 24, 2018 by jaygar71
Typically, exemptions under the 1933 Act are based on either the type of security or the type of ... Started by frankwu	1 Replies 117 Views	Jun 24, 2018 by pami445
Offerings under Regulation A of the Securities Act of 1933, although called private offerings, are ... Started by 09madisonrousseau09	1 Replies 468 Views	Jun 24, 2018 by katara
Securities offered and sold entirely within one state by a corporation of that state are exempt from ... Started by geodog55	1 Replies 134 Views	Jun 24, 2018 by firehawk60
Securities issued by banks are exempt from SEC registration. Indicate whether the statement is true ... Started by newbem	1 Replies 91 Views	Jun 24, 2018 by k.lashomb
The 1933 Act exempts all but which of the following from its registration requirements? A)Short-term ... Started by hubes95	1 Replies 67 Views	Jun 24, 2018 by Liamb2179
Techno is planning a security offering under Regulation D, Rule 506. Under this rule, Techno can ... Started by KimWrice	1 Replies 101 Views	Jun 24, 2018 by princessflame2016
Under what type of securities offering must the issuer determine if the investor is an accredited, ... Started by vinney12	1 Replies 112 Views	Jun 24, 2018 by maya.nigrin17@yahoo.com
When a stock underwriter acts as the company's agent in selling stock, it is called a A)company ... Started by jilianpiloj	3 Replies 298 Views	Jun 24, 2018 by Amiracle
Under which of the following exemptions is there no dollar limitation? A)Rule 504 B)Rule 505 C)Rule ... Started by fox	1 Replies 264 Views	Jun 24, 2018 by marict
Pursuant to a public offering, a CPA firm audited the financial statements. After the offering, ... Started by bio_gurl	1 Replies 118 Views	Jun 24, 2018 by nanny
The guiding principal of federal securities law is A)to keep investors from making bad investments. ... Started by MGLQZ	1 Replies 101 Views	Jun 24, 2018 by hramirez205
Felicity brought a lawsuit under Section 11 of the 1933 Act against Mojo Corp What will Felicity ... Started by genevieve1028	1 Replies 127 Views	Jun 24, 2018 by macagn
Which of the following statements is correct? A)Investors generally receive a copy of the ... Started by awywial	1 Replies 70 Views	Jun 24, 2018 by zenzy
Under the 1934 Act, an issuer must register with the SEC if A)it has not completed a public offering ... Started by nautica902	1 Replies 73 Views	Jun 24, 2018 by xMRAZ
If the final registration statement contains a material misstatement or omission, the purchaser of ... Started by soccerdreamer_17	1 Replies 86 Views	Jun 24, 2018 by FergA
If a registration statement contains a material misstatement or omission A)the company is liable and ... Started by Bernana	3 Replies 110 Views	Jun 24, 2018 by carolinefletcherr

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