C. d. A publicly traded bank holding company A coipany hat 30. Which of the following corporate events does NOT triger a requirement to file a Form &-k with the SEC? a. Termination of a merger agreement b. Agreement on principal merger terms c. Change in a Company's outside CPA accounting firm d. Waiver of a requirement of a Company's Code of Ethics 31. Which of the following forms is NOT designed to satisfy a filing requirement of the Securities Exchange Act of 1934 a. Form S-1 b. Form 5 c. Form 10-K d. Form 10-a 32. An "S-3 Filer" is - a. b. c. d. A private company with more than 300 stockholders of record A private equity fund A seasoned public issuer A broker-dealer 33. The phrase "Management's Discussion and Analysis of Results of Operations" ("MD&A") refers a. b. c. d. A statement required to be included in every public company's 10-Qs and 10-Ks A narrative statement required to be included in every company's proxy statement A separate disclosure document required to be sent with the proxy statement A section of every public company's audited financial statements 34. "Short-swing profits is a term used to describe a. Amounts recoverable from a company insider b. Profits on an insider's "short sale" of securities c. Insider trading profits d. Day trading profits