$67-$ What is the time period required by the Sarbanes$-$Oxley Act $($SOX$)$ to reassess the effectiveness of systems of internal control by the senior management?

Annually

Monthly

Quarterly

Semiannually

$66$ A seller agrees to sell securities that they do not own but with the plans to purchase them later. In which type of activity is the seller engaging?

Exempt transaction

Short sale

Scienter

Initial issuance

$65-$ Which type of transaction includes short term notes and drafts, bank and financial institution securities or insurance endowments?

Exempt securities

Insider tradings

Regulation A offerings

Private placement exemptions

$64$ Absent any exemptions, during which time period can an issuer not sell or offer to sell its securities$.$

Waiting period

Prefiling period

Posteffective period

Exempt period