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Practice Exams
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  • 1.

    Rules against insider trading were established by the

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    We'll give you the first and last question on this exam. So you know we actually did the whole thing.


  • 5.

    Under Sarbanes-Oxley, who within the company must sign the financial statements?

  • Let's keep things simple here. Assume that The Sauce Company was already publicly-traded and had 1,500,000 shares outstanding. Mr. Wu has held his 50,000 shares for 1 year. He files Form 144 on August 22. Previous weekly trading volume in The Sauce's restricted shares is as follows:

    Week EndingVolume
    August 1915,100
    August 1216,000
    August 514,500
    July 2915,000
    July 2217,000

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