1.) The definition of a security is limited to stocks and bonds. True or False? 2.)...
1.) The definition of a security is limited to stocks and bonds. True or False?
2.) An individual who violates Section 10(b) of the Exchange Act may also violate Section 17(a) of the Securities Act based on the same underlying conduct. True or False?
3.) A violator of Section 10(b) of the Exchange may go to prison. True or False
4.) Only an individual can violate Section 10(b) of the Exchange Act and Section 17(a) of the Securities Act. True or False
Homework Answers
1. False. the definition of securities is not just limited to stocks and bonds , it also includes hybrid instruments like convertible bonds, preference shares or equity warrants.
2. True, because all Rule 10(b) claims require proof of scienter and claims under Section 17(a) may be based on negligent conduct, so if a person is conducted under Rule 10(b), the also violate section 17(a)
3. True. Violation of section 10(b) can result in civil and criminal prosecution
4.True
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1.) The definition of a security is limited to stocks and bonds.
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