A Prospective Issuer Of Securities Must Hire Which Of The Fo

A Prospective Issuer Of Securities Must Hire Which Of The Followingse

A prospective issuer of securities must hire which of the following: select one: a. a publicity agency b. an advertising agency c. a printer for the prospectus d. an insurance broker a red herring: select one: a. is also known as an 8-K report b. is also called a prospectus c. represents an offer to sell a security d. is a preliminary version of a prospectus a share of stock represents the right to: select one: a. receive cash from the issuing company equal to the market value of the stock b. an equal share of the assets of a firm c. participate in active management decisions of a firm d. a share of future profits of a firm bonds issued by a company to raise money: select one: a. mean that the company has incurred debt that is to be repaid to the holders of the bonds b. can be traded on the securities market c. are securities d. all of the above credit bureaus are regulated by: select one: a. the fair credit reporting act b. the legitimate credit reporting act c. the credit card act d. congress equity instruments, like stock, specify the amount of money, the time period it is to be held, and the rate of return to be paid. select one: a. true b. false insider trading is: select one: a. legal if no profit is made b. legal if the insider gets an outsider to buy or sell c. illegal because insiders are strictly prohibited from stock trading under sec rule 10b-5 d. illegal when insiders trade based on information they have a fiduciary duty not to trade on nutritional supplements are: select one: a. subject to the same regulations as drugs b. subject to stricter regulations than drugs c. subject to fewer regulations than drugs d. more expensive than drugs regulation fair disclosure requires that public companies must file reports with the sec to report significant financial developments whenever they happen. select one: a. true b. false the consumer leasing act would apply to which of the following leases: select one: a. living room furniture for three months b. an apartment for a year c. a car for a week d. a big-screen television for a year the credit card accountability responsibility and disclosure act (credit card act) states that gift cards may not expire for at least five years. select one: a. true b. false the fda may seize shipments of products that are falsely labeled. select one: a. true b. false the federal trade commission regulates: select one: a. deceptive business practices b. false advertising claims c. unfair business practices d. all of the above the investment company act (ica): select one: a. holds investment companies liable to private parties for violations of the act b. holds investment companies liable to the sec for violations of the act c. makes the activities of investment companies subject to regulation d. all of the above the mail order rule requires goods to be delivered by mail to arrive within clearly set time or allow the customer out of the deal. select one: a. true b. false the most heavily controlled medical devices are: select one: a. class i b. class ii c. class iii d. restricted class the r-value rule is: select one: a. a ftc trade regulation rule regarding insulation b. a ftc standard for measuring a business's profits c. a ftc standard for advertising carpet thickness d. a ftc standard regarding vitamin levels in cereals the securities act of 1933 concerns truth in disclosure at the time securities are first sold; the 1934 securities exchange act concerns regulation of securities already in the market. select one: a. true b. false question text the securities act of 1933 regulates: select one: a. private offerings of securities b. public offerings of securities when they are first sold c. corporations with more than $100,000 in securities d. banks question text the truth-in-lending act does NOT apply to which of the following: select one: a. a $5,000 loan to a friend b. a $25,000 loan to a friend c. a transaction with no finance charge and fewer than 4 installment payments d. all of the above what is not an element in the supreme court's sec v. howey definition of securities: select one: a. an investment of money b. in a common enterprise c. where profits are earned d. enterprise is managed by others when one company wants to take over another, one way it may be done is by proxy. select one: a. true b. false which of the following agencies has primary responsibility for sanitation of meat, poultry, and eggs: select one: a. u.s. chemistry bureau b. u.s. food bureau c. u.s. department of agriculture d. u.s. department of food and drugs which of the following is not a function of the food and drug administration? select one: a. inspections of food and drug producing establishments b. drug evaluation studies c. food additives studies d. all of the above are functions of the fda