· Include fraud risks and the incentives , opportunities , and rationalization related to fraud . =================================================== ACC 544 Week 3 Quiz Federal Securities
· Identify risk areas and the criteria to be used to determine likelihood , magnitude , velocity , and persistence .
· Link risk categories to financial statement assertions .
· Include fraud risks and the incentives , opportunities , and rationalization related to fraud . =================================================== ACC 544 Week 3 Quiz Federal Securities
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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 ?