9. Under the Sarbanes-Oxley Act, discriminating against or discharging an inform
ID: 2440619 • Letter: 9
Question
9. Under the Sarbanes-Oxley Act, discriminating against or discharging an informant is: a. punishable by a fine only. b. punishable by a substantial fine or imprisonment for as long as ten years, but not both. c. punishable by a substantial fine or imprisonment for as long as ten years, or both. d. not addressed. 60. A key step in preparing the registration statement is the process of underwriters, and their respective counsel assemble and review the information about the statement. whereby the company, the company in the registration a. due diligence b. reasonable review c. strict scrutiny d. proofing that involves an investment of money in a common enterprise with profits to come solely from the efforts of others is deemed to be a(n)_ and thus a security a. stock issuance b. investment contract c. secured sale d. committed sale 62. Which of the following is NOT part of the Howey test? a. Scienter b. An investment of money c. Common enterprise d. Profits obtained solely through the efforts of others 63. A offering of securities is a subsequent offering by a person other than the issuer. a. secondary b. restricted c. blank check d. shelf 64. The is the private offering counterpart to the prospectus. a. private registration prospectus b. red-herring prospectus c. private-placement memorandum d. restricted saleExplanation / Answer
Ans59) C is the correct option. Punishable by a substantial fine or imprisonment for as long as ten years or both.
Ans60) A is the correct option. Due diligence
Ans61) B is the correct option. Investment contact.
Ans62) A is the correct option. Scienter.
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