1) What Securities Act requires a listed company to file an annual report on Form 10K. a) The Securities Act of 1933 b) The Securities Act of 1934 c) The Internal Revenue Code d) The Securities Act of 1954 2) Listed companies are required to disclose items that may affect the decision of an investor to purchase stock. These items are called. a) Financial Statements b) Footnotes c) Risk factors d) Management Discussion and Analysis 3) The following is not an exchange where public company stocks are listed for trading: a) NASDAQ b) NYSE c) PINK Sheets d) Wall Street Journal