Rule 10b-5 Applies To

question 54

Multiple Choice

Rule 10b-5 applies to:

• A) any purchase or sale of any security.
• B) only the purchase or sale of securities registered under the 1934 Act.
• C) only publicly traded securities.
• D) only securities that are involved in a secondary distribution.

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Definitions:

Closing Question

A strategic question posed by a salesperson designed to lead the conversation towards the completion of a sale, aiming to secure a commitment from the prospect.

Product's Benefits

The advantages or positive outcomes that customers can expect from using a product, which can include solving problems or fulfilling needs.

Hostile Mood

A negative emotional state characterized by feelings of anger, irritation, or resentment, which can affect interpersonal interactions and decision-making processes.

Alternative-Choice Close

Gives the prospect a choice between two alternatives.