Antitrust laws are regulated by who?

State laws only

Regulatory commissions only

Both state and federal laws

Federal laws only

A corporate executive team were discussing the new tech product they would reveal to the public next week. The CEO suggested that now would be a great time to buy up shares of company stock, which he did right after the meeting. Has the CEO violated securities laws?

Group of answer choices

No, the CEO can buy and sell his personal shares at any time.

Yes, the CEO violated the Securities Exchange Act of 1934 Section 16.

Yes, the CEO violated the Securities Exchange Act of 1934 Section 10(b)(5).

Yes, the CEO violated the Securities Exchange Act of 1934 Section14.

Wilhelm decides to invest in securities. He knows that the SEC has agreed to let several companies sell securities on the exchange and assumes that because the SEC has allowed the sales that he will definitely make a profit. Is he correct?

Group of answer choices

Yes, because the SEC has reviewed all the documents related to the issuance of the security and guarantees success of those securities.

No, because the SEC only reviews the disclosures for completeness and does not evaluate the quality of the security.

Kristina owns a small private company with capitalization over $75 million. She wants to seek public investors to increase her capital. What would probably be the best thing for her to do because her company is small?

Group of answer choices

Hire an underwriter to prepare disclosures and seek investors.

Proceed with a direct public offering because her company is small, and see if she can qualify for an exemption.