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ACC 544 Week 3 Quiz Federal Securities
• 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
• 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
• Question 8 Regulation D of the Securities Act of 1933 is
available to issuers without regard to the dollar amount of an
offering only when the