Question #1 (5 points):

1. What are the two purposes of the registration statement required for an IPO?

2. What four key pieces of information must the registration statement contain?

3. Why do you think these four items of information are important to investors? As an investor, why would you want access to this information?

4. What are the three steps in the registration process after the registration statement?

Question #2 (5 points): 

You are in charge of accounts receivables for your company (i.e. collecting money from unpaid invoices). Some of the debts are more than 90 days past due so you decide to turn the 90+ days receivables over to a collection agency to collect on them.

1. What are the ten activities that your collection agency may not do pursuant to federal law?

2. Why are these protections important?

3. Would you change any of them?

Question #3 (5 points):

1. What are the purposes of (1) securities law, (2) antitrust law, and (3) consumer law? Who do they seek to protect?

2. For each of the three areas, state two problems/abuses that the particular area of law seeks to fix. (e.g. Title VII seeks to address employment discrimination).

3. Name two federal statutes in each of the three areas of law. They will all have “Act” at the end of them.

 
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