Which of the Following Is Enough to Prove a Violation

question 78

Multiple Choice

Which of the following is enough to prove a violation of Section 10(b) and Rule 10b-5?

• A) nonexemption status
• B) scienter
• C) aiding and abetting
• D) negligent conduct

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Definitions:

TV Privileges

The allowance or permission granted to someone, especially children, to watch television, often used as a reward or incentive.

Compliance

The act of conforming, submitting, or adapting one's behavior to align with the rules, demands, or expectations of others.

Self-Control

The ability to regulate one's emotions, thoughts, and behaviors in the face of temptations and impulses.

Cognitive Representation

The manner in which knowledge and ideas are formed, stored, and processed in the mind.