What are the defenses that someone can take to charges of violations under the 1933 securities act?

Q: Investments in equity securities for which the investor has insignificant influence over the…

A: Fair value: Fair value is the price at which, both seller and buyer agree to exchange the asset. So,…

Q: What are some of the exempt securities in investor protection and why do we need these securities…

A: Securities are the financial instruments whose holders have the claim over the issuing authority.…

Q: What agencies regulate securities markets?

A: Securities market: That is the place securities exchanging, for example, stocks and bonds, happens…

Q: Explain the disclosure requirements of the 1933 Act, including which securities and transactions are…

A: The securities act of 1933 is an act that has been passed after the market crash that took place in…

Q: What does The Securities and Exchange Commission do?

A: Financial market refers to the system where the trading of financial instruments between buyers and…

Q: Which are the Federal and State Securities Authorities?

A: The question is based on the concept of security authorities working in United State. The law of…

Q: May an action arising from fraud be waived? explain

A: Fraud- Fraud is defined as the deliberate misrepresentation of an existing material truth by one…

Q: Briefly explain the role of underwriters in the issuance of securities.

A: An underwriter is referred to as the party, which used to evaluate as well as assume that another…

Q: Why are U.S. government securities viewed differently from state and local government securities in…

A: The question is based on the concept of risk of default in bond investment. The default risk is…

Q: The purpose of the Securities Act of 1933 is to regulate a security's investment price. True False

A: The companies raise money from investors by issuing securities. The company sometimes misrepresents…

Q: How are the Securities Investor Protection Corporation (SIPC) and the Federal Deposit Insurance…

A: An investor is a person who invests money in a stock, bond or in some other security so that return…

Q: What are some SEC regulations regarding sales of new securities?

A: The question is based on the concept regulation by the Securities and Exchange Commission for issue…

Q: Name two reasons that requiring more disclosure in the securities market is helpful.

A: Disclosure means making the information or facts about the company known to the public, customers…

Q: how does financial risk relate to the Washington Mutual case and how can it be mitigated

A: The collapse of Washington Mutual (WaMu) in 2008 was one of the most significant bank failures in…

Q: Investments in equity securities for which the investor has insignificant influence over the…

A: In layman’s words, financial management is the management of the finance or funds in an…

Q: What does the Securities Act of 1933 cover?

A: Securities and Exchange Commission (SEC): SEC is an independent organization of the federal…

Q: What is the definition of hedging securities? Explain.

A: Introduction:Hedging is a strategy in which investors attempt to reduce the risk of loss on their…

Q: what is insider trading and why is it considered wrong

A: Insider trading is done by someone who belongs to the internal organization of the company or has…

Q: What accounting treatments are appropriate for investments in equity securities without readily…

A: Investment: It refers to the process of using the currently held excess cash to earn profitable…

Q: what is a tipee liable for insider trading

A: Insider trading is illegal and punishable by law. A tipee is someone who receives information from…

Q: Describe insider trading.  Why is it illegal?

A: Trading means trading securities. Here, the securities are the financial securities which will be…

Q: Why is insider trading difficult to define, prove and prevent?

A: Insider trading : In simple words, The manipulation in a public corporation 's shares or other…