The Securities Act of 1934 Imposes Sanctions for Noncompliance with Its

question 17

Multiple Choice

The Securities Act of 1934 imposes sanctions for noncompliance with its disclosure and antifraud requirements.These sanctions include:

• A)civil liability to injured investors and issuers.
• B)civil penalties.
• C)criminal penalties.
• D)All of the above.

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Definitions:

Perseverative Striving

Perseverative striving is the repeated and continuous effort towards a goal, even in the face of obstacles, frustration, or evidence that the goal may be unattainable.

Ego Dispositions

The habitual tendencies and attitudes of the ego that influence behavior and responses to the environment.

Stimuli

External factors or events that trigger sensory responses or reactions in organisms.

Functional Autonomy

A concept in psychology where a behavior continues because it is intrinsically rewarding, despite the original motives or goals being absent or changed.