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1.) The definition of a security is limited to stocks and bonds. True or False? 2.) An individual who violates Section 10(b) of the Exchange
1.) The definition of a security is limited to stocks and bonds. True or False?
2.) An individual who violates Section 10(b) of the Exchange Act may also violate Section 17(a) of the Securities Act based on the same underlying conduct. True or False?
3.) A violator of Section 10(b) of the Exchange may go to prison. True or False
4.) Only an individual can violate Section 10(b) of the Exchange Act and Section 17(a) of the Securities Act. True or False
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