The Dodd-Frank Act amends the 1933 and 1934 Acts to require knowledge as the mental state required for the SEC to bring aiding and abetting cases.
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Q15: Registration of securities with the SEC guarantees
Q16: EDGAR is the computer system established by
Q17: Marshall, an agent of the North Carolina
Q18: Insiders would violate the short-swing profits rule
Q19: Only civil liability may be imposed for
Q21: There are rigorously enforced restrictions regarding both
Q22: The Securities Enforcement Remedies and Penny Stock
Q23: Under the Dodd-Frank Act, the SEC must
Q24: The Securities Act of 1933 identifies a
Q25: In 2006, the SEC abolished the requirement
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