A) 1 and 4.
B) 1, 3, and 4.
C) 1 and 3.
D) 1, 2, and 4.
E) 1, 2, 3, and 4.
G) A) and B)
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A) Specifying the information that should be included in interim financial statements.
B) Developing definitions of key accounting terms.
C) Developing accounting standards for particular industries.
D) Determining required disclosures.
E) The promulgation and issuance of SASs (Securities Accounting Standards) .
G) D) and E)
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There were financial reporting abuses in...View Answer
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A) Accounting standards and the registration of securities.
B) Regulation of the continuous reporting by publicly owned companies.
C) Accounting standards and registration of investment companies that engage in investing and trading in securities.
D) Accounting standards and penalties against persons who profit from illegal use of inside information.
E) Regulation of independent audit firms and audit standards.
G) A) and E)
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A proxy is a form signed by a stockholde...View Answer
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A) An investor with a net worth equal to or exceeding $1,000,000.
B) An investor holding an active CPA license.
C) An investor with a portfolio of 50 or more securities.
D) An investor having knowledge and experience in financial matters.
E) An investor currently serving as an audit committee member.
G) B) and D)
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A) Registration statements and perpetual filings.
B) Reconciliation statements and periodic filings.
C) Registration statements and periodic filings.
D) Registration filings and reconciliation statements.
E) Reconciliation filings and perpetual filings.
G) B) and C)
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Registration Form S-4 is used ...View Answer
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A) The Division of Corporation Finance.
B) The Division of Investment Management.
C) The Division of Compliance Information.
D) The Division of Enforcement.
E) The Division of Trading and Markets.
G) All of the above
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A) Electronic Debits, Gains, Assets and Revenues System.
B) Electronic Data Gathering, Analysis, and Retrieval System.
C) Explanatory Data Gathering, Analysis, and Retrieval System.
D) Explanatory Debits, Gains, Assets and Revenues System.
E) Electronic Data, Gross Analysis, and Revenues System.
G) A) and B)
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A) May be used by large companies to sell securities over a period of two years without re-filing with the SEC.
B) Is a simplified registration procedure for securities to be issued by small companies.
C) Allows a company to simplify its periodic filing by attaching its annual report to Form 10-K.
D) Is a filing completed using the SEC's electronic filing system.
E) May remain in effect for a period of one to five years.
G) C) and D)
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A) Prohibiting the dissemination of materially misstated information.
B) Controlling the number of companies whose stock is listed on major stock exchanges.
C) Regulating the operation of securities markets.
D) Ensuring that full and fair information is disclosed to all investors before the securities of a company may be bought and sold.
E) Preventing the misuse of information especially by inside parties.
G) A) and C)
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The Securi...View Answer
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A) Requirements for the nonfinancial information to be filed with the SEC.
B) Which form a company must file to register new securities.
C) That the financial statements included in a company's annual report must be audited.
D) The form and content of financial statements to be filed with the SEC.
E) The internal controls a publicly traded company must maintain.
G) All of the above
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A) Accounts receivable.
B) Transferable share.
C) Treasury stock.
D) Debenture.
E) Investment contract.
G) A) and B)
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A) A quarterly report filed with the SEC.
B) An annual report filed with the SEC.
C) A semiannual report filed with the SEC.
D) A form filed with the SEC before the company issues stock for the first time.
E) A form filed with the SEC before issuing stocks to acquire another company.
G) B) and D)
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Part II includes information t...View Answer
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A primary focus of the Sarbane...View Answer
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A) Within forty-five days of the end of any quarter other than the fourth quarter of the fiscal year.
B) Within ninety days of the end of the fiscal year.
C) Within fifteen days of the occurrence of certain significant events.
D) Within sixty days of the end of the fiscal year.
E) When a relatively small company intends to issue securities.
G) A) and E)
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The Division of Corporation Finance has ...View Answer
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