If Caroline,a lawyer,was being held liable for a misstatement in a registration statement,her defense(s) would be:
A) she was only following directions.
B) she had reasonable grounds to believe her information was true.
C) she was not responsible for the portion that contained the misstatement.
D) All of the above.
E) Both (b) and (c) above are correct.
Correct Answer:
Verified
Q66: Under the Securities Exchange Act of 1934
Q67: All of the following are exempt from
Q67: The antifraud provisions of the 1934 Act
Q71: A signed writing by a shareholder authorizing
Q73: For purposes of Section 16(b)of the 1934
Q73: The 1934 Securities Exchange Act requires registration
Q74: Prohibited bribery can result in fines and
Q75: The civil penalty for a person who
Q77: Solicitation includes any request:
A)for a proxy.
B)not to
Q79: SEC regulations concerning fraud in securities transactions
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