SlideShare a Scribd company logo
1 of 1
Assignment 2: Midweek Assignment
Responsibilities for Offerings of Securities
Federal law requires certain material information be disclosed
related to the offering of securities. Address the responsibilities
of each of the parties listed below for ensuring quality, fairness
and accuracy for securities offerings. Which party or parties
bears the most responsibility?
Managers and directors of the issuing company
Investment bankers
Securities lawyers
Even though the SEC provides regulatory oversight regarding
securities, should the parties engage an independent company to
oversee the offering of securities? If so, at whose expense? If
not, why?
Submit your answers in a 2- to 3-page Microsoft Word
document.

More Related Content

More from josephinepaterson7611

Assignment 2 Political Parties and the Electoral ProcessDue Week .docx
Assignment 2 Political Parties and the Electoral ProcessDue Week .docxAssignment 2 Political Parties and the Electoral ProcessDue Week .docx
Assignment 2 Political Parties and the Electoral ProcessDue Week .docxjosephinepaterson7611
 
Assignment 2 Policy IdentificationAccording to the Council .docx
Assignment 2 Policy IdentificationAccording to the Council .docxAssignment 2 Policy IdentificationAccording to the Council .docx
Assignment 2 Policy IdentificationAccording to the Council .docxjosephinepaterson7611
 
Assignment 2 Part B Your Marketing PlanDue Week 8 and worth 40.docx
Assignment 2 Part B Your Marketing PlanDue Week 8 and worth 40.docxAssignment 2 Part B Your Marketing PlanDue Week 8 and worth 40.docx
Assignment 2 Part B Your Marketing PlanDue Week 8 and worth 40.docxjosephinepaterson7611
 
Assignment 2 Organizational Risk Appetite and Risk AssessmentDu.docx
Assignment 2 Organizational Risk Appetite and Risk AssessmentDu.docxAssignment 2 Organizational Risk Appetite and Risk AssessmentDu.docx
Assignment 2 Organizational Risk Appetite and Risk AssessmentDu.docxjosephinepaterson7611
 
Assignment 2 Nuclear MedicineNuclear medicine is a specialized br.docx
Assignment 2 Nuclear MedicineNuclear medicine is a specialized br.docxAssignment 2 Nuclear MedicineNuclear medicine is a specialized br.docx
Assignment 2 Nuclear MedicineNuclear medicine is a specialized br.docxjosephinepaterson7611
 
Assignment 2 NetworkingDue Week 5 and worth 100 pointsAssume th.docx
Assignment 2 NetworkingDue Week 5 and worth 100 pointsAssume th.docxAssignment 2 NetworkingDue Week 5 and worth 100 pointsAssume th.docx
Assignment 2 NetworkingDue Week 5 and worth 100 pointsAssume th.docxjosephinepaterson7611
 
Assignment 2 Needs AssessmentDue Week 5 and worth 175 points.docx
Assignment 2 Needs AssessmentDue Week 5 and worth 175 points.docxAssignment 2 Needs AssessmentDue Week 5 and worth 175 points.docx
Assignment 2 Needs AssessmentDue Week 5 and worth 175 points.docxjosephinepaterson7611
 
Assignment 2 Menu SelectionDespite being a fairly old technolog.docx
Assignment 2 Menu SelectionDespite being a fairly old technolog.docxAssignment 2 Menu SelectionDespite being a fairly old technolog.docx
Assignment 2 Menu SelectionDespite being a fairly old technolog.docxjosephinepaterson7611
 
Assignment 2 Naturalistic Observations and Evaluation Con.docx
Assignment 2 Naturalistic Observations and Evaluation Con.docxAssignment 2 Naturalistic Observations and Evaluation Con.docx
Assignment 2 Naturalistic Observations and Evaluation Con.docxjosephinepaterson7611
 
Assignment 2 Menu SelectionDespite being a fairly old technol.docx
Assignment 2 Menu SelectionDespite being a fairly old technol.docxAssignment 2 Menu SelectionDespite being a fairly old technol.docx
Assignment 2 Menu SelectionDespite being a fairly old technol.docxjosephinepaterson7611
 
Assignment 2 Marketing of the Acquisition by EDUSIn this assign.docx
Assignment 2 Marketing of the Acquisition by EDUSIn this assign.docxAssignment 2 Marketing of the Acquisition by EDUSIn this assign.docx
Assignment 2 Marketing of the Acquisition by EDUSIn this assign.docxjosephinepaterson7611
 
Assignment 2 meets the following course objectivesApply a.docx
Assignment 2 meets the following course objectivesApply a.docxAssignment 2 meets the following course objectivesApply a.docx
Assignment 2 meets the following course objectivesApply a.docxjosephinepaterson7611
 
Assignment 2 Marketing of the Acquisition by EDUSIn this assignme.docx
Assignment 2 Marketing of the Acquisition by EDUSIn this assignme.docxAssignment 2 Marketing of the Acquisition by EDUSIn this assignme.docx
Assignment 2 Marketing of the Acquisition by EDUSIn this assignme.docxjosephinepaterson7611
 
Assignment 2 LASA 2 Final Version of Your Argumentative Research E.docx
Assignment 2 LASA 2 Final Version of Your Argumentative Research E.docxAssignment 2 LASA 2 Final Version of Your Argumentative Research E.docx
Assignment 2 LASA 2 Final Version of Your Argumentative Research E.docxjosephinepaterson7611
 
Assignment 2 LASA 1 The Neighborhoods of CentervaleHeres What H.docx
Assignment 2 LASA 1 The Neighborhoods of CentervaleHeres What H.docxAssignment 2 LASA 1 The Neighborhoods of CentervaleHeres What H.docx
Assignment 2 LASA 1 The Neighborhoods of CentervaleHeres What H.docxjosephinepaterson7611
 
Assignment 2 LASA 1Prepare a full Communications Plan with an a.docx
Assignment 2 LASA 1Prepare a full Communications Plan with an a.docxAssignment 2 LASA 1Prepare a full Communications Plan with an a.docx
Assignment 2 LASA 1Prepare a full Communications Plan with an a.docxjosephinepaterson7611
 
Assignment 2 LASA 1The Value of a Quality Assurance Department.docx
Assignment 2 LASA 1The Value of a Quality Assurance Department.docxAssignment 2 LASA 1The Value of a Quality Assurance Department.docx
Assignment 2 LASA 1The Value of a Quality Assurance Department.docxjosephinepaterson7611
 
Assignment 2 LASA 1 – Letters from Birmingham Martin Luther Kin.docx
Assignment 2 LASA 1 – Letters from Birmingham Martin Luther Kin.docxAssignment 2 LASA 1 – Letters from Birmingham Martin Luther Kin.docx
Assignment 2 LASA 1 – Letters from Birmingham Martin Luther Kin.docxjosephinepaterson7611
 
Assignment 2 LASA 1 Naturalistic Observations and Evaluation.docx
Assignment 2 LASA 1 Naturalistic Observations and Evaluation.docxAssignment 2 LASA 1 Naturalistic Observations and Evaluation.docx
Assignment 2 LASA 1 Naturalistic Observations and Evaluation.docxjosephinepaterson7611
 
Assignment 2 JPMorgan ChaseDue Week 8 and worth 200 pointsIn th.docx
Assignment 2 JPMorgan ChaseDue Week 8 and worth 200 pointsIn th.docxAssignment 2 JPMorgan ChaseDue Week 8 and worth 200 pointsIn th.docx
Assignment 2 JPMorgan ChaseDue Week 8 and worth 200 pointsIn th.docxjosephinepaterson7611
 

More from josephinepaterson7611 (20)

Assignment 2 Political Parties and the Electoral ProcessDue Week .docx
Assignment 2 Political Parties and the Electoral ProcessDue Week .docxAssignment 2 Political Parties and the Electoral ProcessDue Week .docx
Assignment 2 Political Parties and the Electoral ProcessDue Week .docx
 
Assignment 2 Policy IdentificationAccording to the Council .docx
Assignment 2 Policy IdentificationAccording to the Council .docxAssignment 2 Policy IdentificationAccording to the Council .docx
Assignment 2 Policy IdentificationAccording to the Council .docx
 
Assignment 2 Part B Your Marketing PlanDue Week 8 and worth 40.docx
Assignment 2 Part B Your Marketing PlanDue Week 8 and worth 40.docxAssignment 2 Part B Your Marketing PlanDue Week 8 and worth 40.docx
Assignment 2 Part B Your Marketing PlanDue Week 8 and worth 40.docx
 
Assignment 2 Organizational Risk Appetite and Risk AssessmentDu.docx
Assignment 2 Organizational Risk Appetite and Risk AssessmentDu.docxAssignment 2 Organizational Risk Appetite and Risk AssessmentDu.docx
Assignment 2 Organizational Risk Appetite and Risk AssessmentDu.docx
 
Assignment 2 Nuclear MedicineNuclear medicine is a specialized br.docx
Assignment 2 Nuclear MedicineNuclear medicine is a specialized br.docxAssignment 2 Nuclear MedicineNuclear medicine is a specialized br.docx
Assignment 2 Nuclear MedicineNuclear medicine is a specialized br.docx
 
Assignment 2 NetworkingDue Week 5 and worth 100 pointsAssume th.docx
Assignment 2 NetworkingDue Week 5 and worth 100 pointsAssume th.docxAssignment 2 NetworkingDue Week 5 and worth 100 pointsAssume th.docx
Assignment 2 NetworkingDue Week 5 and worth 100 pointsAssume th.docx
 
Assignment 2 Needs AssessmentDue Week 5 and worth 175 points.docx
Assignment 2 Needs AssessmentDue Week 5 and worth 175 points.docxAssignment 2 Needs AssessmentDue Week 5 and worth 175 points.docx
Assignment 2 Needs AssessmentDue Week 5 and worth 175 points.docx
 
Assignment 2 Menu SelectionDespite being a fairly old technolog.docx
Assignment 2 Menu SelectionDespite being a fairly old technolog.docxAssignment 2 Menu SelectionDespite being a fairly old technolog.docx
Assignment 2 Menu SelectionDespite being a fairly old technolog.docx
 
Assignment 2 Naturalistic Observations and Evaluation Con.docx
Assignment 2 Naturalistic Observations and Evaluation Con.docxAssignment 2 Naturalistic Observations and Evaluation Con.docx
Assignment 2 Naturalistic Observations and Evaluation Con.docx
 
Assignment 2 Menu SelectionDespite being a fairly old technol.docx
Assignment 2 Menu SelectionDespite being a fairly old technol.docxAssignment 2 Menu SelectionDespite being a fairly old technol.docx
Assignment 2 Menu SelectionDespite being a fairly old technol.docx
 
Assignment 2 Marketing of the Acquisition by EDUSIn this assign.docx
Assignment 2 Marketing of the Acquisition by EDUSIn this assign.docxAssignment 2 Marketing of the Acquisition by EDUSIn this assign.docx
Assignment 2 Marketing of the Acquisition by EDUSIn this assign.docx
 
Assignment 2 meets the following course objectivesApply a.docx
Assignment 2 meets the following course objectivesApply a.docxAssignment 2 meets the following course objectivesApply a.docx
Assignment 2 meets the following course objectivesApply a.docx
 
Assignment 2 Marketing of the Acquisition by EDUSIn this assignme.docx
Assignment 2 Marketing of the Acquisition by EDUSIn this assignme.docxAssignment 2 Marketing of the Acquisition by EDUSIn this assignme.docx
Assignment 2 Marketing of the Acquisition by EDUSIn this assignme.docx
 
Assignment 2 LASA 2 Final Version of Your Argumentative Research E.docx
Assignment 2 LASA 2 Final Version of Your Argumentative Research E.docxAssignment 2 LASA 2 Final Version of Your Argumentative Research E.docx
Assignment 2 LASA 2 Final Version of Your Argumentative Research E.docx
 
Assignment 2 LASA 1 The Neighborhoods of CentervaleHeres What H.docx
Assignment 2 LASA 1 The Neighborhoods of CentervaleHeres What H.docxAssignment 2 LASA 1 The Neighborhoods of CentervaleHeres What H.docx
Assignment 2 LASA 1 The Neighborhoods of CentervaleHeres What H.docx
 
Assignment 2 LASA 1Prepare a full Communications Plan with an a.docx
Assignment 2 LASA 1Prepare a full Communications Plan with an a.docxAssignment 2 LASA 1Prepare a full Communications Plan with an a.docx
Assignment 2 LASA 1Prepare a full Communications Plan with an a.docx
 
Assignment 2 LASA 1The Value of a Quality Assurance Department.docx
Assignment 2 LASA 1The Value of a Quality Assurance Department.docxAssignment 2 LASA 1The Value of a Quality Assurance Department.docx
Assignment 2 LASA 1The Value of a Quality Assurance Department.docx
 
Assignment 2 LASA 1 – Letters from Birmingham Martin Luther Kin.docx
Assignment 2 LASA 1 – Letters from Birmingham Martin Luther Kin.docxAssignment 2 LASA 1 – Letters from Birmingham Martin Luther Kin.docx
Assignment 2 LASA 1 – Letters from Birmingham Martin Luther Kin.docx
 
Assignment 2 LASA 1 Naturalistic Observations and Evaluation.docx
Assignment 2 LASA 1 Naturalistic Observations and Evaluation.docxAssignment 2 LASA 1 Naturalistic Observations and Evaluation.docx
Assignment 2 LASA 1 Naturalistic Observations and Evaluation.docx
 
Assignment 2 JPMorgan ChaseDue Week 8 and worth 200 pointsIn th.docx
Assignment 2 JPMorgan ChaseDue Week 8 and worth 200 pointsIn th.docxAssignment 2 JPMorgan ChaseDue Week 8 and worth 200 pointsIn th.docx
Assignment 2 JPMorgan ChaseDue Week 8 and worth 200 pointsIn th.docx
 

Recently uploaded

mini mental status format.docx
mini    mental       status     format.docxmini    mental       status     format.docx
mini mental status format.docxPoojaSen20
 
BASLIQ CURRENT LOOKBOOK LOOKBOOK(1) (1).pdf
BASLIQ CURRENT LOOKBOOK  LOOKBOOK(1) (1).pdfBASLIQ CURRENT LOOKBOOK  LOOKBOOK(1) (1).pdf
BASLIQ CURRENT LOOKBOOK LOOKBOOK(1) (1).pdfSoniaTolstoy
 
Separation of Lanthanides/ Lanthanides and Actinides
Separation of Lanthanides/ Lanthanides and ActinidesSeparation of Lanthanides/ Lanthanides and Actinides
Separation of Lanthanides/ Lanthanides and ActinidesFatimaKhan178732
 
Incoming and Outgoing Shipments in 1 STEP Using Odoo 17
Incoming and Outgoing Shipments in 1 STEP Using Odoo 17Incoming and Outgoing Shipments in 1 STEP Using Odoo 17
Incoming and Outgoing Shipments in 1 STEP Using Odoo 17Celine George
 
The basics of sentences session 2pptx copy.pptx
The basics of sentences session 2pptx copy.pptxThe basics of sentences session 2pptx copy.pptx
The basics of sentences session 2pptx copy.pptxheathfieldcps1
 
18-04-UA_REPORT_MEDIALITERAСY_INDEX-DM_23-1-final-eng.pdf
18-04-UA_REPORT_MEDIALITERAСY_INDEX-DM_23-1-final-eng.pdf18-04-UA_REPORT_MEDIALITERAСY_INDEX-DM_23-1-final-eng.pdf
18-04-UA_REPORT_MEDIALITERAСY_INDEX-DM_23-1-final-eng.pdfssuser54595a
 
A Critique of the Proposed National Education Policy Reform
A Critique of the Proposed National Education Policy ReformA Critique of the Proposed National Education Policy Reform
A Critique of the Proposed National Education Policy ReformChameera Dedduwage
 
Enzyme, Pharmaceutical Aids, Miscellaneous Last Part of Chapter no 5th.pdf
Enzyme, Pharmaceutical Aids, Miscellaneous Last Part of Chapter no 5th.pdfEnzyme, Pharmaceutical Aids, Miscellaneous Last Part of Chapter no 5th.pdf
Enzyme, Pharmaceutical Aids, Miscellaneous Last Part of Chapter no 5th.pdfSumit Tiwari
 
ECONOMIC CONTEXT - LONG FORM TV DRAMA - PPT
ECONOMIC CONTEXT - LONG FORM TV DRAMA - PPTECONOMIC CONTEXT - LONG FORM TV DRAMA - PPT
ECONOMIC CONTEXT - LONG FORM TV DRAMA - PPTiammrhaywood
 
Call Girls in Dwarka Mor Delhi Contact Us 9654467111
Call Girls in Dwarka Mor Delhi Contact Us 9654467111Call Girls in Dwarka Mor Delhi Contact Us 9654467111
Call Girls in Dwarka Mor Delhi Contact Us 9654467111Sapana Sha
 
Science 7 - LAND and SEA BREEZE and its Characteristics
Science 7 - LAND and SEA BREEZE and its CharacteristicsScience 7 - LAND and SEA BREEZE and its Characteristics
Science 7 - LAND and SEA BREEZE and its CharacteristicsKarinaGenton
 
Alper Gobel In Media Res Media Component
Alper Gobel In Media Res Media ComponentAlper Gobel In Media Res Media Component
Alper Gobel In Media Res Media ComponentInMediaRes1
 
Accessible design: Minimum effort, maximum impact
Accessible design: Minimum effort, maximum impactAccessible design: Minimum effort, maximum impact
Accessible design: Minimum effort, maximum impactdawncurless
 
SOCIAL AND HISTORICAL CONTEXT - LFTVD.pptx
SOCIAL AND HISTORICAL CONTEXT - LFTVD.pptxSOCIAL AND HISTORICAL CONTEXT - LFTVD.pptx
SOCIAL AND HISTORICAL CONTEXT - LFTVD.pptxiammrhaywood
 
call girls in Kamla Market (DELHI) 🔝 >༒9953330565🔝 genuine Escort Service 🔝✔️✔️
call girls in Kamla Market (DELHI) 🔝 >༒9953330565🔝 genuine Escort Service 🔝✔️✔️call girls in Kamla Market (DELHI) 🔝 >༒9953330565🔝 genuine Escort Service 🔝✔️✔️
call girls in Kamla Market (DELHI) 🔝 >༒9953330565🔝 genuine Escort Service 🔝✔️✔️9953056974 Low Rate Call Girls In Saket, Delhi NCR
 
Crayon Activity Handout For the Crayon A
Crayon Activity Handout For the Crayon ACrayon Activity Handout For the Crayon A
Crayon Activity Handout For the Crayon AUnboundStockton
 

Recently uploaded (20)

mini mental status format.docx
mini    mental       status     format.docxmini    mental       status     format.docx
mini mental status format.docx
 
BASLIQ CURRENT LOOKBOOK LOOKBOOK(1) (1).pdf
BASLIQ CURRENT LOOKBOOK  LOOKBOOK(1) (1).pdfBASLIQ CURRENT LOOKBOOK  LOOKBOOK(1) (1).pdf
BASLIQ CURRENT LOOKBOOK LOOKBOOK(1) (1).pdf
 
Separation of Lanthanides/ Lanthanides and Actinides
Separation of Lanthanides/ Lanthanides and ActinidesSeparation of Lanthanides/ Lanthanides and Actinides
Separation of Lanthanides/ Lanthanides and Actinides
 
TataKelola dan KamSiber Kecerdasan Buatan v022.pdf
TataKelola dan KamSiber Kecerdasan Buatan v022.pdfTataKelola dan KamSiber Kecerdasan Buatan v022.pdf
TataKelola dan KamSiber Kecerdasan Buatan v022.pdf
 
Incoming and Outgoing Shipments in 1 STEP Using Odoo 17
Incoming and Outgoing Shipments in 1 STEP Using Odoo 17Incoming and Outgoing Shipments in 1 STEP Using Odoo 17
Incoming and Outgoing Shipments in 1 STEP Using Odoo 17
 
The basics of sentences session 2pptx copy.pptx
The basics of sentences session 2pptx copy.pptxThe basics of sentences session 2pptx copy.pptx
The basics of sentences session 2pptx copy.pptx
 
18-04-UA_REPORT_MEDIALITERAСY_INDEX-DM_23-1-final-eng.pdf
18-04-UA_REPORT_MEDIALITERAСY_INDEX-DM_23-1-final-eng.pdf18-04-UA_REPORT_MEDIALITERAСY_INDEX-DM_23-1-final-eng.pdf
18-04-UA_REPORT_MEDIALITERAСY_INDEX-DM_23-1-final-eng.pdf
 
A Critique of the Proposed National Education Policy Reform
A Critique of the Proposed National Education Policy ReformA Critique of the Proposed National Education Policy Reform
A Critique of the Proposed National Education Policy Reform
 
Model Call Girl in Bikash Puri Delhi reach out to us at 🔝9953056974🔝
Model Call Girl in Bikash Puri  Delhi reach out to us at 🔝9953056974🔝Model Call Girl in Bikash Puri  Delhi reach out to us at 🔝9953056974🔝
Model Call Girl in Bikash Puri Delhi reach out to us at 🔝9953056974🔝
 
Staff of Color (SOC) Retention Efforts DDSD
Staff of Color (SOC) Retention Efforts DDSDStaff of Color (SOC) Retention Efforts DDSD
Staff of Color (SOC) Retention Efforts DDSD
 
Enzyme, Pharmaceutical Aids, Miscellaneous Last Part of Chapter no 5th.pdf
Enzyme, Pharmaceutical Aids, Miscellaneous Last Part of Chapter no 5th.pdfEnzyme, Pharmaceutical Aids, Miscellaneous Last Part of Chapter no 5th.pdf
Enzyme, Pharmaceutical Aids, Miscellaneous Last Part of Chapter no 5th.pdf
 
ECONOMIC CONTEXT - LONG FORM TV DRAMA - PPT
ECONOMIC CONTEXT - LONG FORM TV DRAMA - PPTECONOMIC CONTEXT - LONG FORM TV DRAMA - PPT
ECONOMIC CONTEXT - LONG FORM TV DRAMA - PPT
 
Call Girls in Dwarka Mor Delhi Contact Us 9654467111
Call Girls in Dwarka Mor Delhi Contact Us 9654467111Call Girls in Dwarka Mor Delhi Contact Us 9654467111
Call Girls in Dwarka Mor Delhi Contact Us 9654467111
 
Science 7 - LAND and SEA BREEZE and its Characteristics
Science 7 - LAND and SEA BREEZE and its CharacteristicsScience 7 - LAND and SEA BREEZE and its Characteristics
Science 7 - LAND and SEA BREEZE and its Characteristics
 
Alper Gobel In Media Res Media Component
Alper Gobel In Media Res Media ComponentAlper Gobel In Media Res Media Component
Alper Gobel In Media Res Media Component
 
Accessible design: Minimum effort, maximum impact
Accessible design: Minimum effort, maximum impactAccessible design: Minimum effort, maximum impact
Accessible design: Minimum effort, maximum impact
 
9953330565 Low Rate Call Girls In Rohini Delhi NCR
9953330565 Low Rate Call Girls In Rohini  Delhi NCR9953330565 Low Rate Call Girls In Rohini  Delhi NCR
9953330565 Low Rate Call Girls In Rohini Delhi NCR
 
SOCIAL AND HISTORICAL CONTEXT - LFTVD.pptx
SOCIAL AND HISTORICAL CONTEXT - LFTVD.pptxSOCIAL AND HISTORICAL CONTEXT - LFTVD.pptx
SOCIAL AND HISTORICAL CONTEXT - LFTVD.pptx
 
call girls in Kamla Market (DELHI) 🔝 >༒9953330565🔝 genuine Escort Service 🔝✔️✔️
call girls in Kamla Market (DELHI) 🔝 >༒9953330565🔝 genuine Escort Service 🔝✔️✔️call girls in Kamla Market (DELHI) 🔝 >༒9953330565🔝 genuine Escort Service 🔝✔️✔️
call girls in Kamla Market (DELHI) 🔝 >༒9953330565🔝 genuine Escort Service 🔝✔️✔️
 
Crayon Activity Handout For the Crayon A
Crayon Activity Handout For the Crayon ACrayon Activity Handout For the Crayon A
Crayon Activity Handout For the Crayon A
 

Assignment 2: Responsibilities for Securities Offerings

  • 1. Assignment 2: Midweek Assignment Responsibilities for Offerings of Securities Federal law requires certain material information be disclosed related to the offering of securities. Address the responsibilities of each of the parties listed below for ensuring quality, fairness and accuracy for securities offerings. Which party or parties bears the most responsibility? Managers and directors of the issuing company Investment bankers Securities lawyers Even though the SEC provides regulatory oversight regarding securities, should the parties engage an independent company to oversee the offering of securities? If so, at whose expense? If not, why? Submit your answers in a 2- to 3-page Microsoft Word document.