c. Upheld Chiarellas conviction for Insider Tradi 1d. Ruled that Chiarella could not trade on non-pu duties to companies shareholders his about the company to without obtaining any advantage for 4. In case of Dirks v. SEC the Supreme Court held that: Dirks could not be liable for tipping non-public information clients because Secrist revealed the scandal to Dirk without himsel a. ys clients for b. Dirks violated Rule 10b-5 because he revealed the scandal to his compan c Dirks was liable for breach of fiduciary duty to the companys shareholders d. Dirks job as securities analyst precluded him from sharing any inside information personal gain because his clients dumped their stock before the scandal became public outside tippees under the confidentiality rule 5. In United Stotes V. OHagan, the Supreme Court: Ruled that OHagan was not liable for securities fraud Ruled that OHagan did not violate insider trading rules because he did not have a fiduciary duty to the companys shareholders Validated the misappropriation theory Ruled that the misappropriation theory did not apply a. b. c. d. 6. A blackout period is A period when the companys stock price is lower than the exercise price of its outstanding stock options A period of stock-trading activity a Company employee cannot remember during an SEC interview a. b. c. A period when a company prohibits its insiders from buying or selling its stock d. A period when a company prohibits its insiders from exercising their stock options 7. Who are considered affiliates subject to special SEC restrictions on their sales of company stock? a. All company employees b. The CEO and CFO only C. The board of directors d. Executives, directors, and large-block shareholders
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