Section 16( a) of the ' 34 Act - a. Governs public company proxy solicitations b. Provides a "window period" for trading by corporate insiders Regulation Sx c. Rule 10b5 12. depends on - a. Whether a disclosure When in effect, the SECS "up tidk" rule- a. Prohibits "naked short selling" of securties b. Limits margin calls in a falling stock market 8. Placing simultaneous offsetting th - a. is legal, although unethical b. is permissible market making c. is prohibited market manipulation d. Is called "laddering" 9. An SEC regulation that provides cile - is not allowed by congress T AD 678A4 ianclal Regulation \& Ethics The menu of narrotive disclosure items that may be reeuined to be indubed in ste. filings is called - a. Regulation 5x b. Regulation Y c. Regulation F=D d. Regulation S-K 5. The Sarbanes-Oxley Act - a. Prohibits employer retaliation against whinteblowers b. Guarantees confidentialify to corporate whinteblowers c. Requires payment of a termination bonus to corporate whistleblowers d Requires the SEC to pay substantiat financial rewards to whatleblowiers 6. "Paying for order flow" ("pFOF") - a. Is a manipulative practice prohibited by Section 9 of the Seculites b. Is the compensation issuers pay to undemeitecs for stock oflering Exchange Act Provides trading volume.bascd compensation to broker we. Robinhood d. is required by sec regulations