1. Briefly describe the purpose(s) of the 1933 Securities Act. Discuss two significant documents required by the Act.

2. What is "insider trading?" Briefly describe who is prohibited from this activity. Why have this prohibition?

3. What is the process for forming a corporation? Briefly discuss at least two significant documents in connection with the formation.

4. What is a fiduciary duty? Briefly describe how this duty impacts (a) agency relations in general and (b) partners in a partnership.

5. What characteristics are shared by LLCs and LLPs? In what way is the formation of LLCs & LLPs significantly different than a traditional partnership?

6. What does "piercing the corporate veil" mean? Briefly describe at least two factors needed to determine whether it should be done.

7. What are "pre-emptive" rights? Briefly give an example of how they would work.

8. What is the difference between a shareholder and a bondholder? Briefly describe how their relationship with the business differs.

9. How can an agency relationship be created (what document would be used)? Is it important to disclose that someone is acting as an agent for another person? Why or why not?

10. What are the purposes behind/filing the following documents: Form 10K, Form 10Q, and Form 8K? Where are they filed?