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Author Question: Proof of misrepresentation by a broker requires: A) Proof of intent to defraud. B) Proof of a ... (Read 278 times)

bucstennis@aim.com

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on: Jun 24, 2018
Proof of misrepresentation by a broker requires:
 A) Proof of intent to defraud.
 B) Proof of a conspiracy with the seller.
 C) Proof of falsifying documents.
 D) None of the above

Question 2

The registration process under Section 5 of the 1933 act is divided into three time periods. In order, they are:
 A) waiting, prefiling, and posteffective.
 B) waiting, prefiling, and executory.
 C) prefiling, waiting, and posteffective.
 D) prefiling, executory, and posteffective.


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bulacsom

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Reply #1 on: Jun 24, 2018
Answer to Question 1

D

Answer to Question 2

C


bucstennis@aim.com

  • Member
  • Posts: 532
Reply 2 on: Jun 24, 2018
Thanks for the timely response, appreciate it

xiazhe

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Reply 3 on: Yesterday
YES! Correct, THANKS for helping me on my review

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