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Auditing and Assurance (KKP1-5)

  1. What allegedly occurred according to the complaint underlying LR No. 18487?

violating the antifraud, anti-touting and other provisions of the federal securities laws, barred him from participating in an offer of penny stock, and ordered him to disgorge his illicit profits. Blackwelder, without admitting or denying the allegations in the Commission’s Complaint, consented to the entry of the final judgment against him.

2. what section(s) of federal securities laws was the primary named individual, Billy Blackwelder, accused of violating?

The Complaint charged Blackwelder with violations of Section 17(b) of the Securities Act of 1933 (“Securities Act”), Section 10(b) of the Securities Exchange Act of 1934 (“Exchange Act”), and Rule 10b 5 thereunder.

(http://www.sec.gov/litigation/litreleases/lr18487.htm)

Februari 3, 2010 - Posted by | tugas Audit 2

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