The SEC has enforcement powers,including the power to issue cease and desist orders,to levy fines,and to confiscate profits from illegal transactions.
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Q7: To recover for an alleged violation of
Q8: The "tipper" of inside information can be
Q9: The Securities Act of 1933 established the
Q10: After the SEC completes its review of
Q11: Under what type of securities offering must
Q13: The 1934 Act requires companies with a
Q14: Typically,exemptions under the 1933 Act are based
Q15: Securities issued by banks are exempt from
Q16: Securities offered and sold entirely within one
Q17: Offerings under Regulation A of the Securities
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