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E16.4 Multiple Choice-SEC Reporting Requirements These questions involve SEC reporting requirements Required a. Which of the following describes Regulation S-X? I. Specifies the information that can be incorporated by reference from the annual report into the registration statement filed with the SEC. 2. Specifies the regulations and reporting requirements of proxy solicitations. 3. Provides the basis for generally accepted accounting principles. 4. Specifies the general form and content of financial statements filed with the SEC b. Which section of Form 10-K is used for management's discussion and analysis of financial condition and results of operations? 1. Item7 2. Item 8 3. Item 1A 4. Item 4A Within four days after any event of material importance to the shareholders occurs, a company must file a Form 8-K with the SEC to disclose the event. Which of these is an example of the type of event to be disclosed? c. Salary increases to the officers. l. m $12 to $12.11 per share. 3. The purchase of bank certificates of deposit. 4. Acquisition of a large subsidiary Which of these events does not require a company to file a Form 8-K? 1. Acquisition or disposition of a significant amount of assets. 2. Change in certifying public accountants. 3. Election of new vice-president of finance to replace the retiring incumbent 4. Default in the payment of principal, interest, or sinking fund installment. d

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