For either criminal or civil sanctions to be imposed, ________must exist-that is, the violator must...
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Accounting
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For either criminal or civil sanctions to be imposed, ________must exist-that is, the violator must have had an intent to defraud or knowledge of engaging in misconduct.
a. misrepresentation
b. scienter
c. criminal intent
d. private trading
2. Issuers of securities offerings must comply with either federal or state securities laws, but not both.
True
False
3. Issuers of securities offerings must comply with either federal or state securities laws, but not both.
True
False
4. Issuers of securities offerings must comply with either federal or state securities laws, but not both.
True
False
5. Federal government agencies must make their records available
a. in PDF formats.
b. in downloadable formats.
c. All of the choices.
d. on the Internet.
6. A telemarketer is not required to remove a consumers name from its list of potential contacts if the customer so requests.
True
False
7. If your name is on the Do Not Call Registry, then telemarketers
a. can call you and leave a voicemail.
b. must refrain from calling you.
c. can email you instead.
d. can send you a letter through the U.S. Postal Service instead.
For either criminal or civil sanctions to be imposed, ________must exist-that is, the violator must have had an intent to defraud or knowledge of engaging in misconduct.
| a. | misrepresentation | |||||||||||||||||||||||||||||||||||||
| b. | scienter | |||||||||||||||||||||||||||||||||||||
| c. | criminal intent | |||||||||||||||||||||||||||||||||||||
| d. private trading 2. Issuers of securities offerings must comply with either federal or state securities laws, but not both. True False 3. Issuers of securities offerings must comply with either federal or state securities laws, but not both. True False 4. Issuers of securities offerings must comply with either federal or state securities laws, but not both. True False 5. Federal government agencies must make their records available
|
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