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KKP 1

Kuis 5

  1. What allegedly occurred according to the complaint underlying LR No. 18487?

The complaint underlying LR NO.18487 are:

The Complaint charged Blackwelder with violations of Section 17(b) of the Securities Act of 1933 (“Securities Act”), Section 10(b) of the Securities Exchange Act of 1934 (“Exchange Act”), and Rule 10b 5 thereunder. The Complaint also charged STWA and Jeffrey Muller, the company’s former president, with violations of Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act, and Rule 10b 5 thereunder.

  1. What section(s) of federal securities laws was the primary named individual, Billy Blackwelder, accused of violating?

violations of Section 17(b) of the Securities Act of 1933 (“Securities Act”), Section 10(b) of the Securities Exchange Act of 1934 (“Exchange Act”), and Rule 10b 5 thereunder.

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