What actions can the SEC take against a violator of the Securities Exchange Act of 1934?
A) It may seek injunctions in Federal District Court.
B) It may enter into consent orders with defendants.
C) It may seek a court order requiring defendants to disgorge illegal profits.
D) It may seek civil penalties up to three times the illegal profits from insider trading.
E) All of the above
E
You might also like to view...
Answer the following statements true (T) or false (F)
1.A tariff quota is a combination of a specific tariff and an ad valorem tariff. 2.A specific tariff is expressed as a fixed percentage of the total value of an imported product. 3.The protective effect of a tariff occurs to the extent that less efficient domestic production is substituted for more efficient foreign production. 4.A tariff can increase the welfare of a "large" country if the favorable terms-of-trade effect is greater than the unfavorable protective effect and consumption effect. 5.If the world price of steel is $600 per ton, a specific tariff of $120 per ton is equivalent to an ad valorem tariff of 25 percent.
When a group of plaintiffs with common claims collectively bring a lawsuit against a defendant, it is known as consolidation
Indicate whether the statement is true or false
Common law and statutory law are both laws created by the executive branch of government
Indicate whether the statement is true or false
The ________ report provides a summary of critical information on a recurring basis
A) Exception B) Scheduled C) Drill-down D) Key-indicator