Which of the following facts will result in an offering of securities being exempt from registration under the Securities Act of 1933?
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1 .Avon Corporation has a management information system. From the management information system, several different reports are available, including reports that are monthly budget vs. actual reports, reports that highlight where sales representatives have not met their assigned sales quotas, account analysis reports that can be requested by accountants as needed as a part of the closing process, and reports that are created by end users to obtain information as needed at any time during the month. The 4 types of reports are best described as:
A Scheduled reports, ad hoc reports, exception reports, and demand reports. B Exception reports, scheduled reports, demand reports, and ad hoc reports. C Demand reports, scheduled reports, exception reports, and ad hoc reports. D Scheduled reports, exception reports, demand reports, and ad hoc repor...
2 .Under the liability provisions of Section 11 of the Securities Act of 1933, an auditor may help to establish the defense of due diligence if:I. The auditor performed an additional review of the audited statements to ensure that the statements were accurate as of the effective date of a registration statement.II. The auditor complied with GAAS.
A Both I and II. B Neither I nor II. C I only. D II only.
3 .Place the following sequence of events in anAIS in the proper logical order: I. Trial balances are prepared. II. The transaction data from source documents is entered into the AIS by an end user. III. Financial reports are generated. IV. These transactions are recorded in the appropriate journal. V. The original paper source documents are filed. VI. The transactions are posted to the general and subsidiary ledgers.
A II, V, IV, VI, I, III. B V, II, VI, IV, III, I. C II, V, VI, IV, I, III. D V, II, VI, IV, I, III.
4 .Which of the following securities would be regulated by the provisions of the Securities Act of 1933?
A Securities issued by not-for-profit, charitable organizations. B Securities issued by insurance companies. C Securities issued by savings and loan associations. D Securities guaranteed by domestic governmental organizations.
5 .Which of the following terms represents the processing of large numbers of common business events that are processed in a predefined highly structured way?
A Transaction processing B Transaction controls C Information and communication D Data processing
7 .Which of the following information technology (IT) departmental responsibilities should be delegated to separate individuals?
A Network maintenance and wireless access. B Data entry and application programming. C Data entry and antivirus management. D Data entry and quality assurance.
8 .A preliminary prospectus, permitted under SEC Regulations, is known as the:
A "Blue-sky" prospectus. B Unaudited prospectus. C Qualified prospectus. D "Red-herring" prospectus.
9 .Which of the following is a key difference in controls when changing from a manual system to a computer system?
A Methodologies for implementing controls change. B Internal control objectives differ. C Control objectives are more difficult to achieve. D Internal control principles change.
10 .Which of the following factors, by itself, requires a corporation to comply with the reporting requirements of the Securities Exchange Act of 1934?
A Total assets of USD2 million. B Shares listed on a national securities exchange. C Six hundred employees. D Four hundred holders of equity securities.
