1.Corporations can complete new securities registration with the SEC up to two years in advance and issue them on relatively short notice utilizing __________________.

A. Rule 144A B. a best efforts underwriting C. shelf registration D. a firm commitment underwriting E. electronic underwriting

2.Securities that are registered at the U.S. Federal level are not subject to U.S. state governments requiring their own registration because of _____________________.

A. The Financial Institution Modernization Act B. SEC Rule 144A C. The Federal Reserve Act D. SEC Rule 415 E. The National Securities Market Improvement Act

3.

Ms. Lotzahcash wants to buy 100 shares of Amazon (AMZN) stock. She places a market order with WeLuvUrMoney Securities, who acts in the capacity of a(n):

A. broker-dealer B. position trader C. principal D. private placement agent E. underwriter