1. The security exchange commission (SEC) was formed in 1933 in the wake of the great depression.  According to Karmel (1998), the SEC engages in a wide range of regulatory activities and some administrative duties but its reputations is mostly that of a prosecutorial agency.  As stated by Seaquist (2012), the securities act of 1933 is only applicable to initial public offerings (IPO).  To list an IPO it must first be registered with the SEC.  Registration is required by law for a corporation to sell stock to the public (Seaquist, 2012).  A California private non-profit university wishing to sell “Shares in Learning” certificates for $500  redeemable for two undergraduate courses or one graduate course would not need to register with the SEC to issue the certificates.  There are securities that are exempt from registering with the SEC.  As stated by Seaquist (2012), one of the securities are exempt from regulation in the Securities Act of 1933 are securities issued by non-profit religious, charitable, educational, benevolent, or fraternal organizations.   If the University was for-profit and operated in all 50 states and wanted to sell the “Shares in Learning” certificate it would still not need to register with the SEC.  The supreme court case SEC v W. J. Howey Co. concluded that an investment contract is a security under the act (Seaquist, 2012).  As defined by the “Howdy test” an investment contract meets the criteria for a security if a person invests in a common enterprise and reasonably expects a profit derived from the efforts of others (Seaquist, 2012). The “Shares for Learning” certificates do not pass the Howdy test to qualify as a security as there is no reasonable expectation for profit.  Despite the fact that the “Shares for Learning” may be resold without limitation it is not feasible to consider making a profit off of the certificates. It seems unreasonable that one would buy the certificates in the hope that the University's leadership would make an effort to increase the cost of tuition to the point that one could turn a profit from the $500 certificates on higher resell.    References Karmel, R. S.  (1998).  Creating law at the securities and exchange commission: the lawyer as prosecutor.  Law and Contemporary Problems. 61(1)  33-46.  Retrieved from the EBSCOhost database Seaquist, G.  (2012).  Business Law for Managers.  San Diego, CA: Bridgepoint Education, Inc  2. Both the federal and state governments regulate listing and selling stock to the public.  The Securities Act of 1933 and the Securities Exchange of 1934 was implemented to protect investors from fraudulent and deceptive activities. The securities for Private University will not need to be registered with the Security and Exchange Commission (SEC) because, under the Securities Act of 1933, there are several situations in which securities are exempt from registration.  One exemption is that nonprofit educational institutions are exempt from having to register secu ...

1. 1. The security exchange commission (SEC) was formed in 1933
in the wake of the great depression. According to Karmel
(1998), the SEC engages in a wide range of regulatory activities
and some administrative duties but its reputations is mostly that
of a prosecutorial agency. As stated by Seaquist (2012), the
securities act of 1933 is only applicable to initial public
offerings (IPO). To list an IPO it must first be registered with
the SEC. Registration is required by law for a corporation to
sell stock to the public (Seaquist, 2012). A California private
non-profit university wishing to sell “Shares in Learning”
certificates for $500 redeemable for two undergraduate courses
or one graduate course would not need to register with the SEC
to issue the certificates. There are securities that are exempt
from registering with the SEC. As stated by Seaquist (2012),
one of the securities are exempt from regulation in the
Securities Act of 1933 are securities issued by non-profit
religious, charitable, educational, benevolent, or fraternal
organizations.
If the University was for-profit and operated in all 50 states and
wanted to sell the “Shares in Learning” certificate it would still
not need to register with the SEC. The supreme court case SEC
v W. J. Howey Co. concluded that an investment contract is a
security under the act (Seaquist, 2012). As defined by the
“Howdy test” an investment contract meets the criteria for a
security if a person invests in a common enterprise and
reasonably expects a profit derived from the efforts of others
(Seaquist, 2012). The “Shares for Learning” certificates do not
pass the Howdy test to qualify as a security as there is no
reasonable expectation for profit. Despite the fact that the
“Shares for Learning” may be resold without limitation it is not
feasible to consider making a profit off of the certificates. It
seems unreasonable that one would buy the certificates in the
hope that the University's leadership would make an effort to
increase the cost of tuition to the point that one could turn a

2. profit from the $500 certificates on higher resell.
References
Karmel, R. S. (1998). Creating law at the securities and
exchange commission: the lawyer as prosecutor. Law and
Contemporary Problems. 61(1) 33-46. Retrieved from the
EBSCOhost database
Seaquist, G. (2012). Business Law for Managers. San Diego,
CA: Bridgepoint Education, Inc
2. Both the federal and state governments regulate listing and
selling stock to the public. The Securities Act of 1933 and the
Securities Exchange of 1934 was implemented to protect
investors from fraudulent and deceptive activities.
The securities for Private University will not need to be
registered with the Security and Exchange Commission (SEC)
because, under the Securities Act of 1933, there are several
situations in which securities are exempt from registration. One
exemption is that nonprofit educational institutions are exempt
from having to register securities as per the Securities Act of
1933 (Seaquist, 2012). Private University is a private, not-for-
profit educational institution that qualifies for exemption from
having to register the securities.
If the securities are being offered by a private college that does
business in all 50 states, they would need to be registered with
the SEC due to Rule 147. Rule 147 mandates that “securities
are exempt if they are offered for sale solely in one state by a
company that does at least 80% of its business in the state”
(Seaquist, 2012). If the college does business in all 50 states, it
would not qualify for exemption by doing business in at least
80% of business in one state. Some state security regulations
may require the company to file with the SEC. Resale of the
securities is restricted to residents of the state for nine months
after the initial sale. Securities must be registered before they
are sold for the first time by filing paperwork (a registration
statement) with the Securities and Exchange Commission
(SEC). The registration statement must include a description of
the security being offered, a description of the company’s

3. properties and business, a description of the company’s
management, a financial statement, and a description of pending
lawsuits involving the company. A company may not sell or
offer to sell a security during the prefiling period. After the
company files the registration with the SEC and is waiting for
approval, the company may begin with some limited
advertisement but may not sell securities during the waiting
period. During the waiting period, prospective investors may
request a prospectus. Once the SEC approves the registration
and it become effective, the company may offer and sell the
security during the post-effective period.
References
Seaquist, G. (2012). Business law for managers. San Diego,
CA: Bridgepoint Education, Inc.
3. The merger between AT&T and T-Mobile would have
violated antitrust law, specifically the Sherman Act of 1890. As
stated by Seaquist (2012), to protect the integrity of our markets
it is important to not only to regulate the stock market but also
to ensure free and fair competition. The Department of Justice
(DOJ) according to Besen, Kletter, Morosi, Salop, and
Woodbury (2013) the DOJ issued a complaint that contended
that an acquisition would create higher prices for mobile
wireless customers and the customers could face poorer quality
due to less incentive to invest. If the merger had gone through it
would have effectively reduced the number of national wireless
carriers from four to three. According to Besen, Kletter,
Morosi, Salop, and Woodbury (2013), with the addition of T-
Mobile, AT&T and Verizon would have accounted for 74% of
the value spectrum of wireless customers, and the collective
market would have been reduced from 36% to 24%. It would
have been unlikely that another carrier would have been able to
pick up the market-share vacated by T-Mobile. As stated by
Besen, Kletter, Morosi, Salop, and Woodbury (2013), a merger
would have likely increased the disadvantage to other carriers
due to rising costs and reduced roaming services. As stated by

4. Seaquist (2012), per se violations of the Sherman act include
the ability among competitors to price fix or restrict
commodities. A merger would have effectively allowed Verizon
and AT&T to price fix and eliminate an aggressive price
competitor. According to Kaplan (2012), the on-going suit
garnered significant government and private opposition. And
nine months after it was announced the merger was abandoned.
References
Besen, S. M., Kletter, S. D., Morosi, S. A., Salop, C., &
Woodsbury, J. (2013). An economic analysis of the AT&T/T-
Mobile merger. Journal of Competitive Law and Economics.
9(1) 23-47. Retrieved from the EBSCOhost database
4. According to Statista (2019), in the last two quarters of 2011,
Verizon and AT&T had 64 percent of the market for cellular
service while T-Mobile had 10 percent. Had AT&T merged
with T-Mobile, it would have given AT&T and Verizon 74
percent of the market which does not leave very much room for
competition to grow. This means that the merger would likely
have caused a “duopoly” situation (De La Merced, 2019, p. 9)
which is different than a monopoly situation as there is still
other competition in the market. However, the merger would
have limited consumer’s purchases to primarily Verizon and
AT&T and the merger would have lessened competition in the
market. Not to mention, having such a large share of the market
basically cuts out the little guy as they’re not able to continue
to keep up with technology due to not having as much business
as the two larger companies which means less profits to
continue to build on. If we’re basing our thought on the
antitrust laws, no, this did not violate them as it did not create a
monopoly, which, according to the Federal Trade Commission
(FTC), is the conduct by a single firm that unreasonably
restrains competition by creating or maintaining monopoly
power" (Monopolization Defined, n.d., p.1).
Had the two companies involved in the duopoly collaborated to
raise prices and gouge customers together, this would have been

5. a violation of the antitrust laws since doing so would tend to
create a monopoly of sorts. I believe collusion is the correct
term to coin in that situation. Another way for this merger to
have violated antitrust laws is of AT&T then went on to buy
Verizon or vice versa with Verizon buying AT&T.
Running Head: WORKPLACE ENVIRONMENT ASSESSMENT
1
WORKPLACE ENVIRONMENT ASSESSMENT 4
Workplace Environment Assessment
Name of the student
University affiliation
Date of submission

6. Workplace Environment Assessment
Clark, C. M. (2015). Conversations to inspire and promote a
more civil workplace. American Nurse Today, 10(11), 18–23.
Retrieved from https://www.americannursetoday.com/wp-
content/uploads/2015/11/ant11-CE-Civility-1023.pdf
1. Summary of Results - Clark Healthy Workplace Inventory
The results stated that the company was much inspired and
promoted a more civil workplace. This was the result of
ensuring that strategies were put aside to help the company in
improving and increasing its productivity.
2. Identify two things that surprised you about the results. Also,
identify one idea that you believed prior to conducting the
Assessment that was confirmed.
Two things that surprised me were that critical conversations
could be stressful, and addressing uncivil behaviors can be
difficult. One idea that I believed prior to conducting the
assessment that was confirmed was cognitive rehearsal is an
evidence-based system one can use to address incivility.
3. What do the results of the Assessment suggest about the
health and civility of your workplace?
The results of the assessment suggest about the health and
civility of the workplace that civility of the workplace is
essential in the increasing productivity of the company. It also
deals with the right information about the whole things of the
health of the employees. Employees get the correct information
about the civility and its value to the organization.
4. Briefly describe the theory or concept presented in the
article(s) you selected.
The concept that is presented in the article I selected is that of
explaining the importance of conversation to inspire and
promote a more civil workplace. It also presented the concepts
of ensuring a healthy workplace.
Explain how the theory or concept presented in the article(s)
relates to the results of your Work Environment Assessment.

7. The concept presented in the article relates to the results of the
work environment assessment in that it leads to the act of
ensuring that the company’s productivity is increased through
enabling and inspiring the employees to be civil. It also entails
the application of the right skills and attitudes that help in
making sure that all is running well and without any issue.
5. Explain how your organization could apply the theory
highlighted in your selected article(s) to improve organizational
health and/or create stronger work teams. Be specific and
provide examples.
The organization could apply the theory or concept highlighted
in the selected article to improve organizational health and the
creation of stronger work teams. By making sure that crucial
strategies are set aside and flourishing approaches that ensure
that civility among employees is well utilized. It also includes
the fact that the whole issue of mistreating the employees,
especially the newbie, is called to an end.
6. General Notes/Comments
The article highlights important concepts that could be applied
by an organization to get substantial outcomes and increase
productivity.
References
Clark, C. M. (2015). Conversations to inspire and promote a
more civil workplace. American Nurse Today, 10(11), 18–23.
Retrieved from https://www.americannursetoday.com/wp-
content/uploads/2015/11/ant11-CE-Civility-1023.pdf
My Discussion
WK 7 DQ
Incivility is one or more rude, discourteous, or
disrespectful actions that may or may not have a negative intent
behind them. Such acts of aggression be it verbal or physical
are completely unacceptable, whether delivered by patients or
colleagues. These incidents not only have a serious effect on the

8. wellbeing of the nurse in question but also their ability to care
for their patients (ANA, 2019). The results from the Clark
Healthy Workplace inventory stated that my company was much
inspired and promoted a more civil workplace. This was the
result of ensuring that strategies were put aside to help the
company in improving and increasing its productivity.
Based on the results, how civil is your workplace?
My workplace is civil. This is because, as an organization,
every member is respecting one another, and in a harmonious
relationship, each member is doing their tasks and collaborates
in working. There might be small conflicts that happen from
time to time, but they are resolved professionally. So it
wouldn’t affect the quality of work or in the service that is
provided to customers. Another way into which my workplace is
civil is due to its ethics, where each member of the company
maintains or holds. Even though the employees may not always
know the culture of every co-worker, motivating them to
behave, civil helps to guarantee a peaceable work experience.
Civil behavior such as providing credit where it is due,
refraining from gossiping about co-workers and welcoming the
newcomers to an organization department should be encouraged.
It also entails witnessing civil action on the part of supervisors
and co-workers helps encourage other workers to treat each
other well. The workplace is civil because of its maintenance of
the quality of life. Witnessing civil behavior is a primary factor
in the quality of life in any workplace. Higher quality of life
makes workers more relaxed and comfortable to be able to offer
quality service to clients (Marshall & Broome, 2017).
Explain why your workplace is or is not civil
Civility in the workplace is very paramount because it is a
critical factor for an organization to be able to fulfill its
missions and goals. The score indicates that my workplace is
civil. At my place of work, there is mutual respect for each
other thereby fostering a more effective and efficient
environment. Members tend to stay longer at my workplace
because the managers and the administration respect and value

9. each member. On the contrary in workplace that is not
cultivating civility, worker tends to leave. Civility in the
workplace results in increased productivity. This also inspires
the excellent morale and motivation among the employees who
help in ensuring that they deliver the best. My workplace
management supports professional growth and development of
their staff. Through this civility it results into commitment.
This helps in the attainment of the goals for the company
because they get committed. It inspires loyalty, training, and
organizational commitment (Clark, 2018).
A situation of incivility I experienced at workplace and how it
was addressed.
One example of incivility that I witnessed at my workplace was
that experienced nurses are leaving new nurses to fend for
themselves and tend to feel superior even though they have the
same role. When I was a new nurse, it was quite interesting to
see how experienced nurses wouldn’t want to help when you’re
in a difficult situation. This instance was widespread, especially
for this new nurse who got frustrated and decided to quit
because some of the nurse working with her was just been cruel.
She didn’t have the best experienced that could have helped her
in ensuring that all activities are run in the best manner. They
were tormented and feared the provision of the best services to
the company (Marshall & Broome, 2017).
This incident was resolved when the nurse manager was
informed and a staff development meeting was held where
everyone got to know each member better. The activity also
included team building activities to build camaraderie and
rapport amongst everyone. The nurse involved in this situation
was discipline because not only that one nurse I witnessed
reported her but apparently a couple did. She was written up.
For instance, educating the experienced nurses through holding
a meeting with them and informing them on how they should
handle and treat the new nurses was an essential means of
curbing incivility. This helps in making sure that the company
activities are run in the best way possible.

10. References
American Nurses Association (2019). Violence, Incivility, &
Bullying. Retrieved from
https://www.nursingworld.org/practice-policy/work-
environment/violence-incivility-bullying/
Clark, C. M. (2018). Combining cognitive rehearsal, simulation,
and evidence-based scripting to address incivility. Nurse
Educator. doi:10.1097/NNE.0000000000000563
Marshall, E., & Broome, M. (2017). Transformational
leadership in nursing: From expert clinician to influential leader
(2nd ed.). New York, NY: Springer.