The SEC's Rule 10b-5:
A) applies to registered securities only
B) concerns securities fraud and prohibits "manipulative" deceptive device
C) applies to registered and unregistered securities
D) applies to registered securities only and concerns securities fraud and prohibits "manipulative" deceptive device
E) concerns securities fraud and prohibits "manipulative" deceptive device and applies to registered and unregistered securities
Correct Answer:
Verified
Q325: Overly optimistic statements by executives are:
A) occasionally
Q326: Fraud in securities dealings may be litigated
Q327: The SEC may sue those alleged to
Q328: Under the securities law, liability for misstatements:
A)
Q329: The Securities Litigation Reform Act of 1995:
A)
Q331: SEC Rule 10b-5 holds it illegal for
Q332: Fraud in securities dealings may be litigated
Q333: Which of the following would never be
Q334: The president of a company says that
Q335: A security is sold to the public
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