Proof of misrepresentation by a broker requires: A) Proof of ...

[bucstennis@aim.com]

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.

[bulacsom]

Answer to Question 1

D

Answer to Question 2

C

[bucstennis@aim.com]

Excellent

[olderstudent]

Thanks for the timely response, appreciate it