Federal Securities Acts MCQs

?A preliminary prospectus, permitted under SEC Regulations, is known as the
?Under the Securities Exchange Act of 1934, which of the following types of instruments is excluded from the definition of “securities”?
?A tombstone advertisement
?Under the Securities Act of 1933, which of the following statements most accurately reflects how securities registration affects an investor?
?Which of the following statements concerning the prospectus required by the Securities Act of 1933 is correct?
?Sandy Corporation is considering the following issuances: I. Notes with maturities of three months to be used for commercial purposes and having a t...
?Sandy Corporation is considering the following issuances: I. Notes with maturities of three months to be used for commercial purposes and having a t...
?Which of the following is not a security under the definition for the Securities Act of 1933?
?Which of the following securities would be regulated by the provisions of the Securities Act of 1933?
?Which of the following securities is exempt from registration under the Securities Act of 1933?
?Universal Corp. intends to sell its common stock to the public in an interstate offering that will be registered under the Securities Act of 1933. U...
?If securities are exempt from the registration provisions of the Securities Act of 1933, any fraud committed in the course of selling such securitie...
?Issuers of securities are normally required under the Securities Act of 1933 to file a registration statement with the Securities Exchange Commissio...
?Regulation D provides for important exemptions to registration of securities under the Securities Act of 1933. Which of the following would be exemp...
?Pix Corp. is making a $6,000,000 stock offering. Pix wants the offering exempt from registration under the Securities Act of 1933. Which of the foll...
?Eldridge Corporation is seeking to offer $7,000,000 of securities under Regulation D of the Securities Act of 1933. Which of the following is (are) ...
?An offering made under the provisions of Regulation A of the Securities Act of 1933 requires that the issuer
?Which of the following facts will result in an offering of securities being exempt from registration under the Securities Act of 1933?
?Regulation D of the Securities Act of 1933
?Frey, Inc. intends to make a $2,000,000 common stock offering under Rule 505 of Regulation D of the Securities Act of 1933. Frey
?Under Regulation D of the Securities Act of 1933, which of the following conditions apply to private placement offerings? The securities
?Which of the following statements concerning an initial intrastate securities offering made by an issuer residing in and doing business in that stat...
?Pix Corp. is making a $6,000,000 stock offering. Pix wants the offering exempt from registration under the Securities Act of 1933. Which of the foll...
?Which of the following transactions will be exempt from the full registration requirements of the Securities Act of 1933?
?Under Rule 504 of Regulation D of the Securities Act of 1933, which of the following is (are) required? I. No general offering or solicitation is pe...
?Dean, Inc., a publicly traded corporation, paid a $10,000 bribe to a local zoning official. The bribe was recorded in Dean’s financial statements ...
?Integral Corp. has assets in excess of $4 million, has 350 stockholders, and has issued common and preferred stock. Integral is subject to the repor...
?Which of the following factors, by itself, requires a corporation to comply with the reporting requirements of the Securities Exchange Act of 1934?a...
?The registration provisions of the Securities Exchange Act of 1934 require disclosure of all of the following information except the
?Under the Securities Act of 1933, which of the following statements is correct concerning a public issuer of securities who has made a registered of...
?Which of the following persons is not an insider of a corporation subject to the Securities Exchange Act of 1934 registration and reporting requirem...
?The Securities Exchange Commission promulgated Rule 10b-5 from power it was given the Securities Exchange Act of 1934. Under this rule, it is unlawf...
?The antifraud provisions of Rule 10b-5 of the Securities Exchange Act of 1934
?Adler, Inc. is a reporting company under the Securities Exchange Act of 1934. The only security it has issued is voting common stock. Which of the f...
?Which of the following is correct concerning financial statements in annual reports (Form 10-K) and quarterly reports (Form 10-Q)?
?Burk Corporation has issued securities that must be registered with the Securities Exchange Commission under the Securities Exchange Act of 1934. A ...
?Under the Sarbanes-Oxley Act which of the following officers must periodically certify that reports comply fully with relevant securities laws and a...
?Which of the following is not an aspect of the Wall Street Reform and Consumer Protection (Dodd-Frank) Act of 2010?
?The Wall Street Reform and Consumer Protection (Dodd- Frank) Act of 2010 requires

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Federal Securities Acts MCQs