A) That a viatical settlement investment is not an investment contract because no significant post-purchase activity takes place in such contracts, and the expectation of profits is not therefore based solely on the efforts of the promoter or a third party.
B) That a viatical settlement investment is not an investment contract because profit depends entirely upon the mortality of the insured.
C) That a viatical settlement investment is not an investment contract because such contracts are void as against public policy.
D) That a viatical settlement investment is an investment contract in that investors were offered and sold an investment in a common enterprise in which they were promised profits that were dependent on the efforts of the promoters.
E) That a viatical settlement investment is an investment contract because no significant post-purchase activity took place, thereby establishing the dependence of profits on the presale activities of the promoter.
G) C) and E)
Correct Answer
verified
Correct Answer
verified
A) Approved
B) Sophisticated
C) Accredited
D) Superior
E) There is no specific term to describe Scott as he is considered the same as any other investor.
G) All of the above
Correct Answer
verified
Correct Answer
verified
B) False
Correct Answer
verified
Correct Answer
verified
A) The Securities Act of 1933, the Securities Exchange Act of 1934, and the Anti-Fraud Securities Act of 2001 are all federal acts regulating securities transactions.
B) The Securities Exchange Act of 1934 and the Securities Act of 1933 are federal acts regulating securities transactions, but the Anti-Fraud Securities Act of 2001 is not.
C) The Anti-Fraud Securities Act of 2001 and the Securities Exchange Act of 1934 are federal acts regulating securities transactions, but he Securities Act of 1933 is not.
D) The Anti-Fraud Securities Act of 2001 and the Securities Act of 1933 are federal acts regulating securities transactions, but he Securities Exchange Act of 1934 is not.
E) The Securities Act of 1933 is a federal act regulating securities transactions, but the Securities Exchange Act of 1934 and the Anti-Fraud Securities Act of 2001 are not.
G) B) and E)
Correct Answer
verified
Correct Answer
verified
A) Pumping and dumping
B) Marketing and selling
C) Pushing and pulling
D) Increasing and decreasing
E) Inflating and deflating
G) C) and D)
Correct Answer
verified
Correct Answer
verified
A) Delayed registrations
B) Continuous registrations
C) Approved registrations
D) Shelf registrations
E) Acknowledged filings
G) A) and D)
Correct Answer
verified
Correct Answer
verified
B) False
Correct Answer
verified
Correct Answer
verified
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