Prohibitions Against Insiders from Engaging in Short-Swing Profits Are Enforced

question 9

Multiple Choice

Prohibitions against insiders from engaging in short-swing profits are enforced by the:

• A) SEC.
• B) FTC.
• C) SEC and FTC.
• D) issuer of the security or by a person who owns a security of the issuer.
• E) issuer of the security or the SEC.

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Definitions:

Language Skills

Denotes the capacity to use language effectively for communication, which includes speaking, listening, reading, and writing.

Social Emotional Skills

Competencies in managing emotions, establishing positive relationships, and making responsible decisions.

Empowering

Providing the resources, confidence, and authority to people so they can control and improve their own lives.

Overpowering

Exerting control or influence over someone or something to an excessive degree, often overwhelming or subduing.