Author Question: Proof of misrepresentation by a broker requires: A) Proof of intent to defraud. B) Proof of a ... (Read 473 times)

bucstennis@aim.com · **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.