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A comprehensive set of questions and answers for the blaw 3310 final exam, covering key concepts related to administrative law and corporate finance. It includes definitions, explanations, and examples of important legal terms and principles, making it a valuable resource for students preparing for the exam.
Typology: Exams
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administrativeTagencyT-TCorrectTAnswer- aTgovernmentalTbureauTestablishedTbyTCongressT(orTtheTpresident)TtoT executeTcertainTfunctionsTofTCongress.TAgenciesTtransactTgovernmentT businessTandTmayTwriteTandTenforceTregulationsTunderTtheTauthorityT ofTCongressTorTtheTpresident. delegationTofTpowersT-TCorrectTAnswer- theTconstitutionalTrightTofTCongressTtoTauthorizeTgovernmentTagencies TtoTperformTcertainTlegalTduties. enablingTstatuteT-TCorrectTAnswer- legislativeTenactmentTgrantingTpowerTtoTanTadministrativeTagency. administrativeTlawT-TCorrectTAnswer- rulesTandTregulationsTestablishedTbyTadministrativeTagenciesTtoTexecu teTtheTfunctionsTgivenTthemTbyTCongressTorTtheTpresident;TalsoTtheTla wTthatTgovernsThowTagenciesTmustToperate. rulemakingT-TCorrectTAnswer- inTadministrativeTlaw,TtheTproceduresTthatTagenciesTmustTfollowTwhen
TissuingTrulesTtoTinterpretTorTenforceTtheTstatutoryTauthorityTtheyTwer eTgrantedTbyTCongress. APAT-TCorrectTAnswer- AdministrativeTProcedureTAct,TadoptedTinT1946,TestablishedTprocedur esTwhenTagenciesTengageTinTquasi-legislativeT(rulemaking),TorTquasi- judicalT(adjudication)Tfunctions agencyTruleT-TCorrectTAnswer- inTadministrativeTlaw,TaTruleTissuedTbyTaTregulatoryTagencyTunderTitsTp owersTgrantedTbyTCongressTandTsubjectTtoTproceduralTrequirementsTth atTdetailTtheTlegalTobligationsTofTaffectedTparties. substantiveTorTlegislativeTrulesT-TCorrectTAnswer- administrativeTrulingsTbasedTonTstatutoryTauthorityTgrantedTanTagency TbyTCongress;TtheTrulesThaveTtheTsameTlegalTforceTasTstatutesTpassedTb yTCongress. interpretativeTrulesT-TCorrectTAnswer- statementsTissuedTbyTadministrativeTagenciesTthatTexplainThowTtheTag encyTunderstandsTitsTstatutoryTauthorityTtoToperate;TtheseTmayTbeTad visoryTorTbinding. proceduralTrulesT-TCorrectTAnswer- underTtheTAdministrativeTProcedureTActTorTotherTlegislation,TtheTproc essTthatTanTadministrativeTagencyTmustTfollowTforTitsTactionsTtoTbeTvali d.
noticeTandTcommentTperiodT-TCorrectTAnswer- TheTstatutoryTtimeframeTduringTwhichTanTagencyTpublishesTaTpropose dTregulationTandTreceivesTpublicTfeedbackTonTtheTregulation.TWhenTthi sTperiodTexpires,TtheTregulationTtakesTeffect. revisedTrulesT-TCorrectTAnswer-revisedTrules finalTadoptedTrulesT-TCorrectTAnswer- AfterTanTagencyTconductsTaTpublicThearingTandTreviewsTsubmittedTcom ments,TtheTagencyTmustTpublishTtheTfinal,TorTadopted,TruleT 30 TdaysTtoT applyTonTwebsite adjudicatoryThearingT-TCorrectTAnswer- inTadministrativeTlaw,TaTformalTprocessTinvolvingTaTregulatoryTagencyT andTtheTprivateTpartiesTinvolvedTinTaTcomplaint;TproceduresTareTmoreT informalTthanTaTcourtTtrialTbutTprotectTdueTprocessTrights. administrativeTlawTjudgeT-TCorrectTAnswer- aTpersonTappointedTtoTconductTanTadministrativeThearingTaboutTaTreg ulatoryTmatter.TUsuallyTattorneysTwhoTworkTforTtheTadministrativeTag ency,TsuchTasTtheTFederalTTradeTCommission,TserveTinTthisTcapacity.TTh eyTrunTaTtrial- likeTproceedingTandTissueTaTdecisionTinTtheTmatterTbasedTonTtheTfactsT determinedTatTtheThearing.
InvestigativeTPowerT-TCorrectTAnswer- theTpower,TexercisedTbyTtheTHouse,TtheTSenate,TorTbothTchambersTjoin tly,TtoTinvestigateTproblemsTfacingTtheTstate JudicialTDeferenceT-TCorrectTAnswer- theTconditionTofTaTcourtTyieldingTorTsubmittingTitsTjudgmentTtoTthatTofT anotherTlegitimateTparty,TsuchTasTtheTexecutiveTbranchTinTtheTcaseTofT nationalTdefense. AgencyTSubpoenaTPowerT-TCorrectTAnswer- AnTagencyTmayTissueTaTsubpoenaTinTconnectionTwithTanTinvestigationTi fTitTshows: 1.TitThasTauthorityTtoTengageTinTtheTinvestigation;T 2.TtheTevidenceTsoughtTisTreasonablyTrelatedTtoTtheTinvestigation;Tand 3.TthereTisTanTauthenticTfactualTbasisTtoTwarrantTtheTparticularTinvestig ation. standingT-TCorrectTAnswer-theTrightTtoTsueTinTaTparticularTcourt. ripenessTdoctrineT-TCorrectTAnswer- inTadministrativeTlaw,TaTdoctrineTthatTbeforeTaTmatterTmayTbeTappeale
dTtoTtheTcourtTsystem,TanTagencyTmustThaveTfinalizedTitsTdecision,TsoTt heTmatterTisTreadyTforTcourtTreview. exhaustionTdoctrineT-TCorrectTAnswer- aTruleTthatTwhenTaTstatuteTprovidesTanTadministrativeTremedy,TreliefT mustTbeTsoughtTthroughTappropriateTagencyTprocessTbeforeTaTcourtTca nTactTtoTconsiderTotherTrelief. arbitraryTandTcapriciousT-TCorrectTAnswer- aTjudgmentTorTdecision,TbyTanTadministrativeTagencyTorTjudge,TwhichTi sTwithoutTbasisTinTfactTorTinTlaw.TSuchTaTdecisionTisToftenTreferredTtoTas TbeingTwithoutTaTrationalTbasis. cost-benefitTanalysisT-TCorrectTAnswer- computingTtheTcostsTofTanTactivityTcomparedTtoTtheTestimatedTmoneta ryTvalueTofTtheTbenefitsTfromTtheTactivity. CodeTofTFederalTRegulationsT-TCorrectTAnswer- CFR,TtheTcodificationTofTtheTgeneralTandTpermanentTrulesTandTregulati onsT(administrativeTlaw)TpublishedTinTtheTFederalTRegisterTbyTtheTexec utiveTdepartmentsTandTagenciesTofTtheTfederalTgovernment. ChevronTcaseT-TCorrectTAnswer- TheTCleanTAirTAct,TasTenactedTbyTCongress,TrequiresTstatesTwithT"nona ttainment"T(dirtyTair)TareasTtoTestablishTaTpermitTprogramTthatTregulat esT"newTorTmodifiedTmajorTstationaryTsourcesTofTairTpollution."TUnder TEPATregulations,TaTstateTcouldTallowTaTplantTwithTmultipleTsourcesTofT
pollutionTtoTbeTtreatedTasToneTsourceTofTpollution.TThatTis,TanTindustri alTfacilityTwouldTbeTtreatedTasTifTitTwereTunderTaT"bubble."TTheTpolluti onTemittedTbyTtheTfacilityTunderTtheTbubbleTwouldTbeTmeasured,Trath erTthanTmeasuringTemissionTfromTeachTemissionTpointTwithinTtheTbub ble. ALJT-TCorrectTAnswer- AdministrativeTLawTJudges,TpresidesToverTtheTadjudicatoryThearing ControlsTonTagencyTpowerT-TCorrectTAnswer-budgetingTprocess FreedomTofTInformationTActT(FOIA)T-TCorrectTAnswer- TheTFreedomTofTInformationTActT(FOIA)TmakesTmostTdocumentsTheldT byTfederalTagenciesTavailableTtoTtheTpublic GovernmentTinTtheTSunshineTActT-TCorrectTAnswer- TheTGovernmentTinTtheTSunshineTActTlimitsTsecretTmeetingsTbyTagenci es.TTheTpublicTisTentitledTtoTatTleastToneTweek'sTnoticeTofTtheTtime,Tpla ce,TandTsubjectTmatterTofTagencyTmeetings. FederalTRegisterT-TCorrectTAnswer- AfterTaTnewTruleTisTapprovedTandTpublishedTinTtheTFederalTRegisterTfor TpublicTinspection,TinterestedTpartiesTmayTsubmitTwrittenTcommentsTa boutTtheTrule
notice-andTcommentTperiodT-TCorrectTAnswer- RulesTissuedTthroughTtheTnotice-and- commentTprocessTareToftenTreferredTtoTasT"legislativeTrules"TbecauseTt heyThaveTtheT"forceTandTeffectTofTlaw." AdministrativeTProceduresTActT-TCorrectTAnswer- TheTAPATdeterminesTtheTprimaryTstructureTofTadministrativeTlaw.TEna ctedTinT1946,TtheTAPATdefinesTtheTproceduralTrulesTandTformalitiesTforT federalTagencies.TAnTagencyTmustTabideTbyTAPATrequirements,TunlessT CongressTimposesTdifferentTrequirementsTforTanTagency. CorporateTfinanceT-TCorrectTAnswer- blueTskyTlawsT-TCorrectTAnswer- nameTgivenTtoTstateTlawsTthatTregulateTtheTofferTandTsaleTofTsecurities . stockT-TCorrectTAnswer-ATshareTofTownershipTinTaTcorporation. bondsT-TCorrectTAnswer- ATcertificateTissuedTbyTaTgovernmentTorTprivateTcompanyTwhichTpromi sesTtoTpayTbackTwithTinterestTtheTmoneyTborrowedTfromTtheTbuyerTofT theTcertificate:TTheTcityTissuedTbondsTtoTraiseTmoneyTforTputtingTinTne wTsewers.
equityTfinancingT-TCorrectTAnswer- whenTaTbusinessTobtainsTfundsTbyTissuingTownershipTsharesTtoTinvesto rsTinTtheTorganization. SecuritiesTandTExchangeTCommissionT-TCorrectTAnswer- aTregulatedTmarketTwhereTsecurities,TsuchTasTstocks,TareTtraded. HoweyTtestT-TCorrectTAnswer- theTruleTestablishedTbyTtheTSupremeTCourtTtoTdetermineTwhatTaTsecuri tyTisTunderTtheTfederalTsecuritiesTlaw:TanTinvestmentTofTmoneyTinTaTco mmonTenterpriseTwithTtheTexpectationTthatTprofitsTwillTbeTgeneratedT byTtheTeffortsTofTothers SECTdisclosureTrequirementsT-TCorrectTAnswer- publiclyTownedTcompaniesTtoTdiscloseTcertainTtypesTofTbusinessTandTfi nancialTdataTonTaTregularTbasisTtoTtheTSECTandTtoTtheTcompany'sTstock holders. registrationTstatementT-TCorrectTAnswer- inTsecuritiesTlaw,TtheTfinancialTinformationTthatTmustTbeTfiledTwithTthe TSecuritiesTandTExchangeTCommissionTforTreviewTpriorTtoTtheTsaleTofTs ecuritiesTtoTtheTpublic. prospectusT-TCorrectTAnswer- underTsecuritiesTlaw,TaTpamphletTthatTmustTbeTproducedTforTdistributi onTtoTprospective
SECTreviewTandTapprovalT-TCorrectTAnswer- exemptionsTfromTregistrationT-TCorrectTAnswer- belowT$T5.0MTinTfundsTsolicitedToverT 12 TmonthsT- TinTsecuritiesTlaw,TprovisionsTthatTallowTcertainTsecuritiesTtoTbeTsoldTwi thoutTmeetingTtheTusualTregistrationTrequirementsTwithTtheTSecurities TandTExchangeTCommission;TdoesTnotTexemptTtheTsecuritiesTfromTothe rTaspectsTofTsecuritiesTlaws. wellTknownTseasonedTissuers well-knownTseasonedTissuersT(WKSI)T-TCorrectTAnswer- mostTsecuritiesTissuedTbyTtheseT
securitiesTfraudT-TCorrectTAnswer- inTsecuritiesTlaw,TtheTstatutoryTbasisTforTchargingTanyoneTinvolvedTinTt heTissuanceTorTtradingTofTsecuritiesTwithTfraud,TwhichTisTusuallyTdueTto TmisleadingTissuanceTofTinformationTorTfailureTtoTdiscloseTmaterialTinfo rmationTthatTcausesTinvestorsTtoTsufferTlosses. misstatementsT-TCorrectTAnswer- inTsecuritiesTlaw,TliabilityTmayTbeTimposedTonTthoseTresponsibleTforTiss uingTinformationTaboutTsecuritiesTthatTmisleadsTaTreasonableTinvestorT inTinvestmentTdecisionsTtoTherTdetriment;TmayTbeTpartTofTfraud. insiderTtradingT-TCorrectTAnswer- theTbuyingTorTsellingTofTsecuritiesTofTaTfirmTbyTpersonsTwhoThaveTinfor mationTaboutTtheTfirmTnotTyetTavailableTtoTtheTpublicTandTwhoTexpectT toTmakeTaTprofitTthroughTthoseTtransactions. "materialTnonpublicTinformation"TandTfamousTTexasTGulfTSulfurTcaseT- TCorrectTAnswer- theyTdidTreleaseTinformationTtoTtheTpublicTthatTcouldTchangeTtheTstock ,TinsidersTboughtTstockTfirst InvestmentTCompanyTActT-TCorrectTAnswer- anyTcorporationTinTbusinessTtoTownTandTholdTtheTstockTofTotherTcorpo rations mutualTfundsT-TCorrectTAnswer- anTinvestmentTvehicleTregulatedTbyTtheTInvestmentTCompanyTAct,Twh
ereTmanyTinvestorsTpoolTtheirTmoneyTtoTbeTmanagedTbyTaTprofessiona lTstaff. InvestmentTAdvisersTActT-TCorrectTAnswer- underTsecuritiesTlaw,TaTpersonTwho,TforTcompensation,TengagesTinTthe TbusinessTofTadvisingTothersTasTtoTtheTadvisabilityTofTinvestingTin,Tpurc hasing,TorTsellingTsecurities.TThisTincludesTsecuritiesTbrokersTandTdeale rs ChurningT-TCorrectTAnswer- refersTtoTtheTexcessiveTbuyingTandTsellingTofTsecuritiesTinTaTsecuritiesTi nvestmentTaccountTbyTaTbroker,TforTtheTpurposeTofTgeneratingTcommi ssionsTandTwithoutTregardTtoTinvestmentTobjectives. ScalpingT-TCorrectTAnswer- whenTaTsecuritiesTprofessionalTbuysT(orTsells)TaTnumberTofTsharesTofTa nTinvestor'sTsecurityTatTtheTbidT(orTask)TpriceTandTthen,TwhenTtheTprice Tmoves,TquicklyTsellsT(orTbuys)TtheTsameTsecurityTfromTtheTprofessiona l'sTownTaccountTforTaThigherT(orTlower)TpriceTforTaTprofitTgeneratedTbyT tradingTtheTclient'sTaccount. Truth-in-lendingTActT-TCorrectTAnswer- requiresTcreditorsTinTconsumerTtransactionsTtoTdiscloseTbasicTinformat ionTaboutTtheTcostTandTtermsTofTcreditTtoTtheTconsumer-borrower. FoodTDrugTandTCosmeticTActT-TCorrectTAnswer- establishedTpenaltiesTforTviolationsTofTtheTlaw.T...T"theTintroductionTorT
deliveryTforTintroductionTintoTinterstateTcommerceTofTanyTfood,Tdrug,T device,TtobaccoTproduct,TorTcosmeticTthatTisTadulteratedTorTmisbrande d FoodTandTDrugTAdministrationT-TCorrectTAnswer- TheTFDATregulatesTnutritionTlabeling. canTforceTexistingTproducts,TincludingTfood,Tcosmetics,TandTmedicalTde vices,TtoTbeTremovedTfromTtheTmarketTifTclaimsTareTmisleadingTorTifTne wTinformationTbecomesTavailableTthatTindicatesTtheTproductTisTnotTasT safeTasTpreviouslyTthought NutritionTLabelingTActTofT 1996 T-TCorrectTAnswer- hoseTwithTaddedTnutrientsTandTthoseTforTwhichTaTnutritionTclaimTwasT madeTonTtheTlabel,TorTinTlabelingTorTadvertising prescriptionTdrugsT-TCorrectTAnswer- DrugsTlegallyTavailableTonlyTwithTaTphysician'sTorder. KefauverTamendmentT-TCorrectTAnswer- RequiresTtheTFDATtoTapproveTdrugsTbasedTonTtheirTprovenTeffectivene ss,TnotTjustTtheirTsafety FederalTTradeTCommissionTformedT 1915 T-TCorrectTAnswer- devotesTresourcesTtoTitsTBureauTofTConsumerTProtection,TwhichThandl
esTmattersTsuchTasTdeceptiveTbusinessTadvertisingTandTmarketingTprac tices. advertisingTsubstantiationTprogramT-TCorrectTAnswer- FTCTprogramTthatTensuresTadvertisersTmakeTavailableTtoTconsumersTsu pportingTevidenceTforTadvertisingTclaims LanhamTActT-TCorrectTAnswer- aT 1946 TlawTthatTspellsToutTwhatTkindsTofTmarksT(includingTbrandTname s)TcanTbeTprotectedTandTtheTexactTmethodTofTprotectingTthem FederalTTradeTCommissionTv.TQTTcaseT-TCorrectTAnswer- madeTfalseTclaimsTthatTqtTbraceletsTwereThelpingTreliveTpain,TshowingT noTscientificTevidence TexasTDTPAT-TCorrectTAnswer- statuteTprohibitsTaTlistTofTdeceptiveTtradeTpracticesTdeemedTtoTbeTfals e,TmisleadingTorTdeceptive.TTheTDTPATgivesTconsumersTtheTrightTtoTsu eTforTdamages. examplesTofTTexasTdeceptiveTpracticesT-TCorrectTAnswer-- falseTgeographicTorigins
failureTtoTkeepTreasonableTnumberTofTadvertisedTarticlesTinTstockTbase dTonTanticipatedTdemand
defendantTwasTawareTtheyTwereTmakingTaTmisrepresentationTwhenTth eyTmadeTitTpayTtwiceTtheTcost 60 — dayTnoticeTletterT-TCorrectTAnswer- writtenTnotice,ThasT 60 TdaysTtoTcompensateTtheTcustomerTbeforeTsuing FCRAT(FairTCreditTReportingTAct)T-TCorrectTAnswer- protectsTconsumers'TcreditTreputation,TallowsTcorrection FCBAT(FairTCreditTBillingTAct)T-TCorrectTAnswer- CorrectTbillingsTerrorsTinTaTspecifiedTtime CARDTActT-TCorrectTAnswer- toTprotectTconsumersTfromTunfairTpracticesTonTtheTpartTofTcreditTcardTi
ssuers.T...TTheTlawTrequiresTthatTissuersTinformTcardholdersThowTlongTi tTwillTtakeTtoTpayToffTanTexistingTbalanceTatTtheTminimumTmonthlyTrat eTasTwellTasTimproveTclarityTofTfeeTandTpenaltyTdisclosure ECOAT(EqualTCreditTOpportunityTAct)T-TCorrectTAnswer- EnactedTinT1974,makesTitTunlawfulTforTanyTcreditorTtoTdiscriminateTag ainstTanyTapplicant,TwithTrespectTtoTanyTaspectTofTaTcreditTtransaction, TonTtheTbasisTofTrace,Tcolor,Treligion,TnationalTorigin,Tsex,TmaritalTstatu s,TorTage FDCPAT-TCorrectTAnswer- FairTDebtTCollectionTPracticesTAct;TlegislationTenactedTasTtheTresultTofT evidenceTthatTdebtTcollectorsTwereTusingTabusive,Tdeceptive,TandTunfa irTcollectionTpractices;TitTimposesTstrictTlimitationsTandTprohibitionsTon TdebtTcollectionTpractices. EFTAT-TCorrectTAnswer-ElectronicTFundsTTransferTAct -- ProvideTaTbasicTframeworkTestablishingTtheTrights,Tliabilities,TandTresp onsibilitiesTofTparticipantsTinTtheTelectronicTtransferTsystems atms StolenTcreditTcardTliabilityT-TCorrectTAnswer-upTtoT 2 TdaysTisTatT$ ATMTcardTliabilityT-TCorrectTAnswer-stoppedTatT$
TariffT-TCorrectTAnswer-ATtaxTonTimportedTgoods NAFTAT-TCorrectTAnswer-NorthTAmericanTFreeTTradeTAgreement ATtradeTagreementTbetweenTCanada,TtheTUnitedTStatesTandTMexicoTth atTencouragesTfreeTtradeTbetweenTtheseTNorthTAmericanTcountries. imports/TexportsT-TCorrectTAnswer- ExportTisTanyTinternationalTtransactionTthatTcausesTgoodsTtoTflowTintoT aTcountry;TanTimportTsimilarlyTisTanyTinternationalTtransactionTthatTca usesTgoodsTtoTflowToutTofTaTcountry HarmonizedTTariffTScheduleT-TCorrectTAnswer- ATscheduleTofTtariffTnomenclatureTarrangedTinT 6 - digitTcodesTallowingTallTparticipatingTcountriesTtoTclassifyTtradedTgood sTonTaTcommonTbasis.TBeyondTtheT 6 - digitTlevel,TcountriesTmayTintroduceTnationalTdistinctionsTforTtariffTorTs tatisticalTpurpose. ContractTManufacturingT(Outsourcing)T-TCorrectTAnswer- HiringTaTforeignTmanufacturerTtoTmakeTyourTproductsTaccordingTtoTyo urTspecifications. BusinessTstructure- USTbasedTcompanyTwithTdirectTexportsTtoTendTusersT-TCorrectTAnswer-
foreignTdistributionTagreementT(saleTforTaTresale)T-TCorrectTAnswer- aTdistributorTisTaTforeignTpersonTorTcompanyTtoTwhichTyouTsellTyourTpr oducts,TwithTtheTexpectationTthatTtheTdistributorTwillTthenTresellTthose TproductsTwithinTaTforeignTterritory. manufacturingTlicenseTarrangementT-TCorrectTAnswer- createsTanTagreementTbetweenTtwoTindividuals,TtheTlicensorTandTlicen see,TwhereTaTlicensorTbestowsTaTcopyrightedTlicenseTtoTtheTlicensee. licensor/licenseeT-TCorrectTAnswer- ATpersonTorTaTcompanyTwithTexclusiveTlegalTrightsToverTaTthingTthatTgi ves,TsellsTorTotherwiseTsurrendersTtoTanotherTaTlimitedTrightTtoTuseTtha tTthing.TTheTpersonTbenefitingTfromTtheTgrantTisTcalledTaTlicenseeTandTt heTlegalTtermTusedTtoTdescribeTtheTauthorityTsoTgivenTisTlicense. wholly-ownedTsubsidiaryT-TCorrectTAnswer- aTfullyToperational,TindependentTentityTthatTaTfirmTsetsTupTinTaTforeign TcountryTtoTconductTbusinessTinTthatTmarket JointTVentureTAgreementT-TCorrectTAnswer- AgreementTwhereTaTjointTcompanyTisTorganizedTbyTtheTgovernmentTan dTtheTcontractorTwithTbothTpartiesThavingTequityTshares eminentTdomainT-TCorrectTAnswer- PowerTofTaTgovernmentTtoTtakeTprivateTpropertyTforTpublicTuse.
NaturalizationT-TCorrectTAnswer- ATpetitionTforTnaturalizationTcanTbeTfiledTinTanyTcommonTlawTcourtTofT recordThavingTjurisdictionToverThis/herTresidenceTaskingTtoTbeTnaturali zed foreignTsalesTagentTagreementTbasedTonTcommissionT- TCorrectTAnswer- ForeignTCorruptTPracticesTActTofT 1977 T-TCorrectTAnswer- ATlaw,TamendedTbyTtheTInternationalTAnti- DumpingTandTFairTCompetitionTActT(1998),TthatTmakesTitTaTcrimeTforTU .S.TcorporationsTtoTbribeTanTofficialTofTaTforeignTgovernmentTorTpolitic alTpartyTtoTobtainTorTretainTbusinessTinTaTforeignTcountry. bribeT-TCorrectTAnswer- paymentTmadeTtoTaTpersonTinTaTpositionTofTtrustTtoTcorruptThisTjudgm ent,TasTcashTorT"anythingTofTvalue"TvsTfacilitatingTpayments,TstudentTi nternshipsTasT"anythingTofTvalue" BKNYTMellonTcaseT-TCorrectTAnswer- BankTofTNewTYorkTMellonTwillTpayT$12.5TmillionTtoTsettleTaTproposedTc lassTactionTaccusingTitTofTchargingTretirementTplansTexcessive,Tunauth orized,TandTundisclosedTamountsTthroughTtheTbank'sTforeignTexchange Ttransactions.
TransparencyTInternationalT-TCorrectTAnswer- ATprivateTorganizationTthatTcompilesTstatisticsTaboutTcorruptionTinTcou ntriesTaroundTtheTworld. franchisor/franchiseeT-TCorrectTAnswer- FranchisingTisTaTcontractualTrelationshipTbetweenTaTlicensorT(franchiso r)TandTaTlicenseeT(franchisee)TthatTallowsTtheTbusinessTownerTtoTuseTth eTlicensor'sTbrandTandTmethodTofTdoingTbusinessTtoTdistributeTproduct sTorTservicesTtoTconsumers.T...TTheTfranchiseeTpaysTtheTfranchisorTaTfee . 1.TWhoTregulatesTsecurities? a.TFederalTBureauTofTInvestigation b.TSecuritiesTExchangeTCommission c.TTexasTSecretaryTofTState d.TFederalTStockTandTBondTBoardT-TCorrectTAnswer- b.TSecuritiesTExchangeTCommission 2.TWhatTstatementTisTtrue? a.TAllTcompanyTbondsTareTsecurities b.TAllTcompanyTstocksTareTsecurities c.TAllTcompanyTdebtTisTaTsecurity d.TATandTBT-TCorrectTAnswer-d.TATandTB
3.TATPonziTschemeTisTusingT_____TofToneTinvestorTforTanother'sT_____. a.TPrincipal...Profit b.TProfit...Principal c.TPrincipal...Principal d.TProfit...ProfitT-TCorrectTAnswer-a.TPrincipal...Profit 4.TTheTregionalTofficeTofTSECTisTinT_________. a.TDallas b.THouston c.TFortTWorth d.TAustinT-TCorrectTAnswer-c.TFortTWorth 5.TAnTissuerTofTsecuritiesTmustTfileTaT________. a.TRegistrationTStatement b.TDeed c.TBusinessTPlan d.TCertificateTofTStandingT-TCorrectTAnswer-a.TRegistrationTStatement 6.TTheTSecuritiesTActTofT 1933 TwasTadoptedTunderTpowerTgivenTbyT____ ____. a.TInterstateTCommerceTClause b.TTexasTSecuritiesTAct
c.TAdministrationTProceduresTAct d.TFederalTIssuerTCommissionT-TCorrectTAnswer- a.TInterstateTCommerceTClause 7.TAdvanceTnoticeTofTproposedTfederalTagencyTrulemakingTisTpublished TinT______. a.TFederalTRegister b.TCodeTofTFederalTRegulations c.TUSTCode d.TAdministrationTProceduresTActT(APA)T-TCorrectTAnswer- a.TFederalTRegister 8.TTheTChevronTcaseTestablishedTtheTpolicyTof_______. a.TJudicialTDeference b.TStatusTQuo c.TRulemakingTperTse d.TIspaTloquiturT-TCorrectTAnswer-a.TJudicialTDeference 9.TAllTadoptedTfinalTregulationsTareTplacedTin________. a.TCodeTofTFederalTRegulations b.TFederalTRegister c.TUSTCode
d.TFederalTRegulationTandTRuleTCodeT-TCorrectTAnswer- a.TCodeTofTFederalTRegulations 10.TAntiguaTisTknownTforTPonziTschemeTbyT________. a.TAllenTStanford b.TNingTDing c.TBernieTMadoff d.TWayneTHuizengaT-TCorrectTAnswer-a.TAllenTStanford