Professional Documents
Culture Documents
3. Who is an insider?
4. What is an Exchange?
6. Registration statement?
10. What securities are exempt from registration and why are they exempt?
11. What are the exempt transactions and why are the securities sold in any of them not required to be
registered?
14. What action may the SEC take in respect of a registration statement?
20. When could the profits made by a stockholder, director or officer in a purchase and sale, or a sale
and purchase, of any equity security be recovered?
21. What are the various ways by which the security prices may be manipulated?
22. What is an insider prohibited from doing and what is his duty when trading?
26. Who are the market professionals and entities required to register with the SEC?
31. Can the SEC suspend trading in a security or all trading on any securities exchange?
36. What is the prescriptive period for the enforcement of actions under Sections 56 ( re: civil liabilities
arising in connection with prospectus, communications and reports?
37. What are the damages that may be awarded in suits to recover damages under Sections 56-60?
38. May compliance with any provision of the SRC be waived and would such waiver be valid?
40. What is the general policy of the government for foreign investments?
42. What is the percentage of foreign equity allowed under the FIA?
47. Is there a need for the foreign corporation to appoint its local agent in
the Philippines?
48. What is the effect of failure to appoint or maintain a local agent?