Which of the Following Is True with Regard to Securities

question 63

Multiple Choice

Which of the following is true with regard to securities regulation?

• A) Foreign issuers who issue securities in the United States are exempt from the registration requirements of the 1933 Act.
• B) Some foreign issuers may avoid registration under the 1934 Act by providing the SEC with copies of all information material to investors that they have made public in their home country.
• C) Antifraud provisions of U.S.securities laws do not apply to securities sold in foreign commerce if the courts have found either conduct or effects in the U.S.relating to a violation of securities law.
• D) U.S.securities laws have no application to foreign issuers.

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Definitions:

Educational Institutions

Establishments dedicated to the instruction and training of students in various fields of study.

Client Interview

A dialogue between a lawyer and a client aiming to gather information, define the legal issue, and establish a professional relationship.

Preparing

The act of making ready or getting something or someone prepared for a specific purpose or event.

Conducting

The action of organizing, directing, or overseeing activities or processes.