Question: . Use either the SEC website or a database described in the next chapter and locate the following SEC sources. What does Rule 10(b)(5) discuss?

. Use either the SEC website or a database described in the next chapter and locate the following SEC sources. What does Rule 10(b)(5) discuss? (Hint: It interprets Sec. 10(b)(5) of the Securities Act of 1934.) What does SAB 99 discuss?

2. Go to the SEC website (www.sec.gov).

a. Click on the "Enforcement" tab and then on "Accounting and Auditing." Determine how many AAERs were issued in the current year.

b. Open AAER 3824. Briefly summarize the charges against JP Morgan Chase & Co. Was the company fined? If so, how much? Did the company pay disgorgement? If so, how much?

3. Go to the Electronic Code of Federal Regulations (www.ecfr.gov).

a. What Part of Title 17 (Code of Federal RegulationsCFR) applies to the form and content and requirements for financial statements?

b. If a firm is filing consolidated balance sheets with the SEC for the first time and has only been in business less than a year, what are the requirements? Be sure to include the specific code section in your answer.

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