SEC Regulations Concerning Fraud in Securities Transactions Apply To

question 11

Multiple Choice

SEC regulations concerning fraud in securities transactions apply to:

• A) all securities transactions involving interstate commerce.
• B) only securities registered under the 1934 Act.
• C) only securities registered under the 1933 Act.
• D) securities registered under both the 1933 and 1934 Acts.

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Definitions:

Premium

In finance, this term refers to the amount by which the price of a bond or stock exceeds its principal or face value, or to an additional payment above the normal cost.

Time

A continuous sequence of events that occurs in an irreversible succession from the past, through the present, to the future.

Debt-to-Equity Ratio

A measure of a company's financial leverage, calculated by dividing its total liabilities by stockholders' equity.

Capital

Financial assets or the financial value of assets, such as cash and goods, used to fund a company's operations and growth.