Thị trường vốnCâu 310 / 398
Which statement about the SEC's review of a registration statement is TRUE?
a.The SEC guarantees the accuracy of the information filed
b.The SEC endorses the investment merits of the offering
c.The SEC insures investors against loss on the security
d.The SEC clears the registration for sale but does not approve or guarantee the securities
Giải thích
When the SEC declares a registration effective, it is confirming that required disclosures appear complete, not approving the offering or vouching for its accuracy or merit. It is unlawful to suggest that SEC clearance means the securities are approved or guaranteed.
Trích dẫn luật: Securities Act of 1933Luyện miễn phí toàn bộ 398 câu hỏi — không cần đăng ký.
Câu hỏi liên quan cùng chủ đề
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