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Laws regulates the sale of securities

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Reference no: EM133531454

Question

1. Which of the following statements regarding the Securities Exchange Act of 1934 is true?

The Act requires a one time disclosure of information when the registration statement is filed.

The Act prohibits trading based on confidential, non-public information.

The Act requires that the SEC verify the information the issuer discloses to the investor.

All of the above are true.

2. Under the Securities Act of 1933, a director may avoid liability for a mistake or omission in the registration statement by asserting the ___________________________.

The Colgate Doctrine

Director/Corporation Privilege

Due Diligence Defense

All of the Above

A and C but not B

3. Which of the following laws regulates the sale of securities.

Section 1 of the Sherman Act

Securities Exchange Act of 1934

Noerr-Pennington Doctrine

U.C.C. Securities Act

Reference no: EM133531454

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