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For Each One of the Following Descriptions, Indicate the Securities

Question 66

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For each one of the following descriptions, indicate the Securities Exchange Act of 1934 liability Section to which it relates .

Premises:

Responses:

Is relatively narrow in scope because it relates only to a false or misleading statement in documents “filed” with the SEC under the Act.

Section 10 Liability

Establishes criminal liability for “willfully” and “knowingly” making false or misleading statements in reports filed under the 1934 Act.

Section 18 Liability

It is unlawful for any person, directly or indirectly, to (a) employ any device, scheme, or artifice to defraud; (b) make any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in the light of the circumstances under which they made, not misleading; and (c) engage in any act, practice, or course of business that operates, or would operate, as a fraud or deceit on any person in connection with the purchase or sale of any security.

Section 32 Liability

Section 10 Liability

Section 18 Liability

Section 32 Liability

Section 10 Liability

Section 18 Liability

Section 32 Liability

Premises:

Is relatively narrow in scope because it relates only to a false or misleading statement in documents “filed” with the SEC under the Act.

Establishes criminal liability for “willfully” and “knowingly” making false or misleading statements in reports filed under the 1934 Act.

Responses:

Section 10 Liability