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ACC 544 Quiz 1
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ACC 544 Quiz 1
• Question 1
Imperial Corp. is offering $450,000 of its securities
under Rule 504 of Regulation D of the Securities Act of 1933. Under
Rule 504, Imperial is required to
• Question 2
A $10,000,000 offering of corporate stock intended to
be made pursuant to the provisions of Rule 506 of Regulation D of the
Securities Act of 1933 would not be exempt under Rule 506 if
• Question 3 Under Section 12 of the Securities Exchange Act of
1934, in addition to companies whose securities are traded on a
national exchange, what class of companies is subject to the SEC’s
continuous disclosure system?
• Question 4 Tweed Manufacturing, Inc. plans to issue $10 million
of common stock to the public in interstate commerce after its
registration statement with the SEC becomes effective. What, if
anything, must Tweed do in respect to those states in which the
securities are to be sold?
• Question 5 Acme Corp. intends to make a public offering in
several states of 250,000 shares of its common stock. Under the
Securities Act of 1933,
• Question 6 Which of the following statements is correct with
respect to the Securities Exchange Act of 1934?
• Question 7 Under the Securities Act of 1933, an accountant may be
held liable for any materially false or misleading financial statements,
including an omission of a material fact therefrom, provided the
purchaser