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:

Interest Rate

is the percentage of principal charged by the lender for the use of its money or the return earned on deposit accounts.

Present Value

The current value of a future amount of money or stream of cash flows, discounted at a particular interest rate.

Simple Interest

Interest assessed only on the principal sum, or on the part of the principal that still needs to be repaid.

Principal Amount

The original sum of money borrowed in a loan or invested, distinct from interest or profit earned.