4. A "blackout period" is- A period when the company's stock price is lower than the exercise price of its outstanding stock options A period of stock-trading activity a Company employee cannot remember during an SEC interview A period when a company prohibits its insiders from buying or selling its stock A period when a company prohibits its insiders from exercising their stock options a. b. c. d. Who are considered "affiliates" subject to special SEC restrictions on their sales of company stock? 5. All company employees The CEO and CFO only The board of directors Executives, directors, and large-block shareholders a. b. c. d. Under Section 16 of the Exchange Act and Rule 144, when company executives and directors exercise their stock options and sell all the shares, they must file- 6. a. Form 3 and Form 144 b. Form 4 and Form 144 c. Forms 4 and 5 d. Forms 3, 4, and 5 7. For purposes of Section 10(b) and Rule 10b-5, which of the following are considered "insiders"? officers, directors, and employees at all levels of a company lawyers, accountants, consultants, and agents and representatives who are hired by the company on a temporary and non-employee status to provide services to the company those who owe a fiduciary duty to the company any of the above who possess material, non-public information a. b. c. d. 8. The Sarbanes-Oxley Act's "Clawback" provisions Allow company executives to keep any equity-based compensation they received during the 12-month period after restatement of the company's financials May require corporate executives to return incentive pay for a period for which the company has to reinstate its financials because of the executives "misconduct a. b