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• Question 9 The provisions of the Securities Exchange Act of
1934
• Question 10 Which of the following is required under the
Securities Exchange Act of 1934 or the SEC’s reporting
requirements issued pursuant thereto?
• Question 11 Under the provisions of the Securities Exchange
Act of 1934, a corporation whose common stock is listed on a
national stock exchange
• Question 12 Which of the following are exempt from the
registration requirements of the Securities Act of 1933?
• Question 13 Wane Corporation has issued securities that are
traded on a national securities exchange. Wane just had a
significant change in its assets due to a large acquisition of real
property. Which of the following is true?
• Question 14 Which of the following statements is(are) correct
concerning issuers of securities registered under the Securities
Exchange Act of 1934?
• Question 15 Under Regulation D of the Securities Act of 1933,
what is the maximum time period during which an exempt
offering may be made?
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ACC 544 Week 3 Team Developing Internal Controls (2
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ACC 544 Week 3 Team Developing Internal Controls
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