A(n) _______________ Is a Talk in Which the Person Speaking

question 11

Short Answer

A(n) _______________ is a talk in which the person speaking is communicating with an audience in an effort to explain, sell , entertain, train, or achieve a wide variety of other goals.

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Definitions:

Dodd-Frank Act

Comprehensive financial reform legislation passed in 2010 in the United States to enhance financial stability and consumer protection.

SEC Authority

The legal power granted to the U.S. Securities and Exchange Commission to regulate and supervise the securities industry, including enforcing laws against market manipulation and fraud.

Whistleblowing

The act of exposing any kind of information or activity that is deemed illegal, unethical, or not correct within an organization.

Exempt Offering

A securities offering exempt from registration with the SEC, often under Regulation D.