WDW101Y1 Lecture : February 3 Lecture
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12 May 2011
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Related Questions
1)Sarbanes-Oxley limits personal loans from a company to its executives to one loan of no more than $10,000, amortized over five years, at a time. true or false
2)
Under the 1933 Act, proof of intentional violation is usually required to impose:
A. | criminal sanctions only. | |
B. | criminal or civil sanctions. | |
C. | criminal and pragmatic sanctions. | |
D. | criminal, civil, and equitable (injunctive) sanctions. | |
E. | pragmatic sanctions. |
3)
The damages of a defrauded purchaser of securities:
A. | are measured at the time of purchase. | ||||||||||||||||
B. | include a punitive amount to discourage further fraud. | ||||||||||||||||
C. | are measured at the time the fraud is discovered. | ||||||||||||||||
D. | are considered a "sunk cost" and are not recoverable. | ||||||||||||||||
E. | include speculative damages. 4) The Securities Enforcement Remedies Act:
|
5)
The regulation of securities began as a program to:
A. | prohibit an individual's service as an officer or director. | |
B. | recover triple damages in civil actions against a user of nonpublic information. | |
C. | help the United States overcome the Great Depression of the 1930s. | |
D. | eliminate liabilities for short-swing profits made by insiders. | |
E. | help potential investors to make investment decisions based on less certain criteria. |