Violations of Registration Process: Types & Remedies


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How do companies attract investors?

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ABC Company issued securities, which John then purchased in a secondary market.

Which of the following is correct?

2. The Securities Act of 1933 ensures that:

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About This Quiz & Worksheet

Taking a look at how to make companies as transparent as possible, this quiz and corresponding worksheet will help you gauge your knowledge of the violations of the registration process for public companies. Topics you'll need to know to pass the quiz include understanding how companies attract investors as well as knowing what securities entitle.

Quiz & Worksheet Goals

Use this printable worksheet and quiz to review:

  • What the Security Act of 1933 ensures
  • What securities entitle
  • How companies attract investors
  • International omission of information
  • Sale of non-exempt securities

Skills Practiced

This worksheet and quiz will let you practice the following skills:

  • Interpreting information - verify you can read information regarding how companies attract investors and interpret it correctly
  • Knowledge application - use your knowledge to answer questions about what the Security Act of 1933 ensures
  • Reading comprehension - ensure that you draw the most important information from the related security acts lesson

Additional Learning

Deepen your understanding about the Securities Act of 1933 by reviewing the corresponding lesson on Violations of the Registration Process for Public Companies: Types & Remedies. This lesson will help you:

  • Understand what securities are
  • Identify why congress enacted the Securities Act of 1933
  • Describe the two important protections in the Act
  • Explain the characteristics of the three provisional sections of the Act
  • Appreciate the importance of truthful disclosure in the business world