Federal Securities Acts MCQs

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A preliminary prospectus, permitted under SEC Regulations, is known as the






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Under the Securities Exchange Act of 1934, which of the following types of instruments is excluded from the definition of “securities”?






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A tombstone advertisement






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Under the Securities Act of 1933, which of the following statements most accurately reflects how securities registration affects an investor?






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Which of the following statements concerning the prospectus required by the Securities Act of 1933 is correct?






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Sandy Corporation is considering the following issuances: I. Notes with maturities of three months to be used for commercial purposes and having a t...






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Sandy Corporation is considering the following issuances: I. Notes with maturities of three months to be used for commercial purposes and having a t...






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Which of the following is not a security under the definition for the Securities Act of 1933?






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Which of the following securities would be regulated by the provisions of the Securities Act of 1933?






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Which of the following securities is exempt from registration under the Securities Act of 1933?






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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...






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If securities are exempt from the registration provisions of the Securities Act of 1933, any fraud committed in the course of selling such securitie...






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Issuers of securities are normally required under the Securities Act of 1933 to file a registration statement with the Securities Exchange Commissio...






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Regulation D provides for important exemptions to registration of securities under the Securities Act of 1933. Which of the following would be exemp...






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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...






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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) ...






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An offering made under the provisions of Regulation A of the Securities Act of 1933 requires that the issuer






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Which of the following facts will result in an offering of securities being exempt from registration under the Securities Act of 1933?






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Regulation D of the Securities Act of 1933






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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






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Under Regulation D of the Securities Act of 1933, which of the following conditions apply to private placement offerings? The securities






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Which of the following statements concerning an initial intrastate securities offering made by an issuer residing in and doing business in that stat...






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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...






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Which of the following transactions will be exempt from the full registration requirements of the Securities Act of 1933?






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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...






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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 ...






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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...






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Which of the following factors, by itself, requires a corporation to comply with the reporting requirements of the Securities Exchange Act of 1934?a...






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The registration provisions of the Securities Exchange Act of 1934 require disclosure of all of the following information except the






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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...






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Which of the following persons is not an insider of a corporation subject to the Securities Exchange Act of 1934 registration and reporting requirem...






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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...






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The antifraud provisions of Rule 10b-5 of the Securities Exchange Act of 1934






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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...






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Which of the following is correct concerning financial statements in annual reports (Form 10-K) and quarterly reports (Form 10-Q)?






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Burk Corporation has issued securities that must be registered with the Securities Exchange Commission under the Securities Exchange Act of 1934. A ...






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Under the Sarbanes-Oxley Act which of the following officers must periodically certify that reports comply fully with relevant securities laws and a...






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Which of the following is not an aspect of the Wall Street Reform and Consumer Protection (Dodd-Frank) Act of 2010?






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The Wall Street Reform and Consumer Protection (Dodd- Frank) Act of 2010 requires