Rule 10b-5 of the Securities Exchange Act of 1934 Applies

question 81

Multiple Choice

Rule 10b-5 of the Securities Exchange Act of 1934 applies to:

• A) issuances of securities if they are covered by a registration statement
• B) trading of securities if the trading is done on a national exchange
• C) only transactions connected with a merger of consolidation
• D) any transfer of securities
• E) only transfers made in violation of a transfer restriction

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Definitions:

Lack

The absence or deficiency of something desirable or necessary.

Apart

Separated by a distance or gap, or considered as separate or distinct entities.

Toward

A direction or orientation leading closer to a specific location or object.

Near

Located at a short distance in space or time.