Periodic Disclosures & Role of Auditors (Chapters 4, 6) Flashcards
1
Q
§ 9(a) of the ‘34 Act
A
x
2
Q
§ 12(a) of the ‘34 Act
A
Companies with securities listed on a national securities exchange are rendered “public” companies.
3
Q
§ 13(b) of the ‘34 Act
A
x
4
Q
§ 13(g) of the ‘34 Act
A
x
5
Q
§ 15(d) of the ‘34 Act
A
Companies that register to make a public offering are rendered “public” companies.
6
Q
Form 8-K
A
x
7
Q
Form 10-K
A
x
8
Q
Rule 12g-1 of the ‘34 Act
A
Modifies § 12(g): Companies with both $10mm in total assets and 500 shareholders of record for a class of equity securities are rendered “public” companies.
9
Q
Rule 12g-4 of the ‘34 Act
A
x
10
Q
§ 12(g) of the ‘34 Act
A
(as modified by Rule 12g-1)
Companies with both $10mm in total assets and 500 shareholders of record for a class of equity securities are rendered “public” companies.
