Question: 10. securities with the SEC? a. the name under which the issuer is doing business b. the name of the state where the issuer is

10. securities with the SEC? a. the name under which the issuer is doing business b. the name of the state where the issuer is organized C. the names of all products sold by the issuer d. the names and addresses of the directors e. the names of the underwriters 11. The U.S. federal law that impacts the creation and sales of securities is: a. Securities Exchange Act of 1934 b. Securities Act of 1933 C. Investment Company Act of 1940 d. Investment Advisers Act of 1940 12. The returning of all funds to equity investors as a common "remedy" for "fouled up" securities offering is called: a. just action b. fraud C. second round financing d. a rescission e. mezzanine financing

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