Each of the Following Questions Names an Item

question 13

Multiple Choice

Each of the following questions names an item.Select the correct description of the item from this list.Indicate your selection by entering the letter of the description.
Descriptions
-"Red Herring" Prospectus

• A)Provides preliminary information to investors about an upcoming issue.
• B)Informs investors of an upcoming offering.
• C)Required annual filing to the SEC.
• D)Discloses unscheduled material events.
• E)Includes amendments to the Securities Act,additional disclosure requirements,and other current issues regarding accounting and auditing principles and standards.
• F)Results in a thorough examination by the SEC of a registration statement.
• G)Issued by the staff of the SEC and contains differences that must be corrected in a registration statement before the securities may be offered or sale.
• H)Quarterly report to SEC.
• I)Includes new or revised administrative practices and interpretations used in reviewing financial statements.
• J)Includes the results of actions taken against accountants or other participants because false or misleading statements were filed.
• K)Includes Regulations S-X and S-K.

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Definitions:

Household Consumers

Individuals or groups purchasing goods and services for personal use, not for manufacture or resale.

Full-Time Employees

Workers who are employed for the full number of hours defined as standard by their employer, often receiving full employment benefits.

Financial Year

A financial year is a 12-month period used for calculating annual financial statements in businesses and other organizations.

Capital

Financial assets or resources that individuals or companies use to fund their operations and invest in their growth.