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can you answer all these questions please nts Question 2 0.5 pts Common stocks and preferred stocks are considered to be Common securities Statutorily defined
can you answer all these questions please
nts Question 2 0.5 pts Common stocks and preferred stocks are considered to be Common securities Statutorily defined securities Investment contracts Question 3 0.5 pts A according to the Howey test a security exists if an investor invests money in a common enterprise and expects to make a profit from the significant efforts of others. True False n Question 8 0.5 pts . FILL IN THE BLANK: The Securities and Exchange Commission (SEC) is an administrative agency composed of five members who are appointed by the D Question 9 0.5 pts and therefore The courts apply the Howey test in determining whether an arrangement is an a security debenture Investment contract preferred stock Question 10 0.5 pts Which of the following best defines an initial public offering (IPO)? the filing of a registration statement by an issuer the disclosure document released for public scrutiny the issuance of securities by an issuer to the public the issuance of an offering statement to the public prior to purchase Question 13 0.5 pts Which of the following is true of the Small Company Offering Registration (SCOR) form? O ASCOR form can only be used for raising more than $1 million through the sale of securities O ASCOR form must be completed by the issuee before purchasing securities OASCOR form can be used by both domestic and foreign companies O ASCOR form doubles as a prospectus for potential investors D Question 14 0.5 pts A small business can lea with the Securities and Exchange Commission (SEC) if it plans on raising $1 million or less in any 12-month period from a public offering of securities registration statement Form 5-1 Form U-7 certificate of interest D Question 16 0.5 pts Blue-sky laws are state laws that regulate the issuance and trading of securities The False D Question 17 0.5 pts A tipper cannot be held liable for the prohts made by the tippee, True False Question 21 0.5 pts Crowdfunding offerings are subject to the anti-fraud provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934 True False Step by Step Solution
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