To Which of the Following Will the 10b Prohibitions on Insider

question 148

Multiple Choice

To which of the following will the 10b prohibitions on insider trading apply?

• A)An officer exercising stock options on the day before the company announces its earnings for the quarter.
• B)An officer exercising stock options on the day before the company reveals an SEC investigation.
• C)An officer exercising stock options on the day before the company announces an earnings reversal.
• D)An officer's son buying stock on the day before the company announces an earnings increase.
• E)All of the above are violations of 10b.

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Definitions:

Team's Problems

Issues or challenges encountered by a group of people working together towards a common goal.

Nods While Speaking

A nonverbal cue often indicating agreement or reinforcing the speaker's point, used during verbal communication.

Points of Disagreement

Specific areas or topics where opinions or perceptions diverge or conflict between two or more parties.

Listener's Agreement

The act of a listener showing understanding, acceptance, or approval of what is being communicated.