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ACC 544 Week 3 Quiz Federal Securities
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ACC 544 Week 3 Quiz Federal Securities

This Tutorial was purchased 4 times & rated A+ by student like you.

 

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ACC 544 Week 3 Quiz Federal Securities

 

 

 

• Question 1    Imperial Corp. is offering $450,000 of its securities under Rule 504 of Regulation D of the Securities Act of 1933. Under Rule 504, Imperial is required to

• Question 2    A $10,000,000 offering of corporate stock intended to be made pursuant to the provisions of Rule 506 of Regulation D of the Securities Act of 1933 would not be exempt under Rule 

• Question 3    Under Section 12 of the Securities Exchange Act of 1934, in addition to companies whose securities are traded on a national exchange, what class of companies is subject to the SEC’s continuous disclosure system? 

• Question 4    Tweed Manufacturing, Inc. plans to issue $10 million of common stock to the public in interstate commerce after its registration statement with the SEC becomes effective. What, if anything, must Tweed do in respect to those states in which the securities are to be sold?

• Question 5    Acme Corp. intends to make a public offering in several states of 250,000 shares of its common stock. Under the Securities Act of 1933,

• Question 6    Which of the following statements is correct with respect to the Securities Exchange Act of 1934?

• Question 7    Under the Securities Act of 1933, an accountant may be held liable for any materially false or misleading financial statements, including an omission of a material fact therefrom, provided the purchaser

• Question 8    Regulation D of the Securities Act of 1933 is available to issuers without regard to the dollar amount of an offering only when the

• Question 9    The provisions of the Securities Exchange Act of 1934

• Question 10 Which of the following is required under the Securities Exchange Act of 1934 or the SEC’s reporting requirements issued pursuant thereto?

• Question 11  Under the provisions of the Securities Exchange Act of 1934, a corporation whose common stock is listed on a national stock exchange

• Question 12  Which of the following are exempt from the registration requirements of the Securities Act of 1933?

• Question 13 Wane Corporation has issued securities that are traded on a national securities exchange. Wane just had a significant change in its assets due to a large acquisition of real property. Which of the following is true?

• Question 14  Which of the following statements is(are) correct concerning issuers of securities registered under the Securities Exchange Act of 1934?

• Question 15  Under Regulation D of the Securities Act of 1933, what is the maximum time period during which an exempt offering may be made?

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