Which of the following is NOT a purpose of federal securities regulation?
A) To ensure that only worthwhile securities are sold in interstate commerce.
B) To ensure adequate disclosure by issuers of securities.
C) To ensure that inside information is not abused.
D) To prevent the use of fraud in the marketing of securities.
Correct Answer:
Verified
Q47: The Securities and Exchange Commission (SEC) is
Q48: The 1934 Securities Exchange Act requires registration
Q49: Which of the following is not one
Q50: Securities that are exempt from registration under
Q51: _, promulgated by the SEC, provides a
Q53: Which of the following would NOT be
Q54: Effective in 2000, a plain English term
Q55: Which of the following would ordinarily NOT
Q56: The civil penalty for a person who
Q57: "Insider trading" rules pertain to:
A) tippees.
B) officers
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