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1-year bachelor's

Question 1

NewCo has decided to put together a public offering. It has begun organizing its books and has hired an investment banker in order to get the process underway. The next step that it should take is:

Question 2

RH&Co. has prepared and submitted a prospectus to the SEC. The SEC responded to the prospectus by suggesting that the company had been a bit bold about its predictions for the company's future. Thus, they have suggested that the company ought to reform its prospectus such that it does not have the effect of:

Question 3

Company R has just completed its financial filings in preparation for finalizing its prospectus. The preparation of the documents was completed in compliance with:

Question 4

JoeCo has prepared and distributed a prospectus to potential investors. However, the SEC has refused to grant the prospectus final approval. What is one of the most likely reasons why the firm would be denied final approval?

Question 5

In its prospectus, management made several forward-looking statements. Those statements were most likely made in:

Question 6

A new exchange, sponsored by a group of individuals who want to form an exchange for the town of Missoula, Montana, have registered with the SEC to create their exchange. Under which of the following laws would the firm be registering?

Question 7

GoingStrong, Inc. has decided to engage in a share offering. In order to comply with the various securities laws for the offering, it will have to consult with the securities issuance laws for:

Question 8

Lev is a broker-dealer of several securities. In order to act as a broker-dealer for these companies, he must:

Question 9

Ultimate liability for the material in a prospectus rests with:

Question 10

You are currently working as an attorney for the SEC in the prospectus review area. Which of the following looks most like "conditioning the market" to you?