Author Question: Which of the following actions can the SEC take if there is a violation of Section 14 on proxy ... (Read 64 times)

newyorker26 · **on:** Jun 24, 2018

Which of the following actions can the SEC take if there is a violation of Section 14 on proxy solicitation?
A) An injunction preventing the vote with the proxies
B) Unwinding the election results
C) Order reimbursement of costs for second solicitation by the party who violated Section 14
D) The SEC can take any of the above actions.

Question 2

Under Sarbanes-Oxley, when must a company file an 8-K?
A) Every quarter
B) Annually
C) Only when selling stock
D) Within one day of any changes listed in the statute