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a</strong><span style="font-family: Verdana, Geneva, Arial, Helvetica, sans-serif; font-size: 12px; line-height: 18px;">)Each year the SEC brings</span><span style="font-family: Verdana, Geneva, Arial, Helvetica, sans-serif; font-size: 12px; line-height: 18px;"></span><strong style="font-family: Verdana, Geneva, Arial, Helvetica, sans-serif; font-size: 12px; line-height: 18px;">hundreds</strong><span style="font-family: Verdana, Geneva, Arial, Helvetica, sans-serif; font-size: 12px; line-height: 18px;">of civil enforcement actions against individuals and companies for violation of the securities laws.</span></p> <p style="border: 0px; margin: 0px 0px 10px; padding: 0px; font-size: 12px; direction: ltr; font-family: Verdana, GenXXX, Arial, Helvetica, XXXX-XXXXX; line-height: XXXX;"><strong>Typicalinfractions</XXXXXX>include XXXXXXX XXXXXXX, XXXXXXXXXX XXXXX, and XXXXXXXXX false or misleading XXXXXXXXXXX about securities XXX the companies XXXX XXXXX them.</p> <div style="color: #222222; XXXX-XXXXXX: XXXXX, XXXX-XXXXX; font-size: XXXXX;"></div> <div style="XXXXX: #222222; XXXX-XXXXXX: XXXXX, XXXX-XXXXX; font-size: small;"><strong>b</strong>)<span style="color: #XXXXXX; font-XXXXXX: Verdana, XXXXXX, XXXXX, Helvetica, sans-serif; XXXX-XXXX: 12px; XXXX-height: 18px;">Based on the XXXXXXXX in XXXXX XXXXXXXX, Congress — XXXXXX the XXXX XXXX of XXX Depression — XXXXXX XXX XXXXXXXXXX Act XX 1933. This law, together XXXX XXX Securities Exchange XXX XX XXXX, which created the XXX, XXX XXXXXXXX to restore investor confidence in our XXXXXXX XXXXXXX by providing investors and the XXXXXXX XXXX more reliable XXXXXXXXXXX XXX clear rules XX honest XXXXXXX.</span></div> <div style="color: #XXXXXX; font-family: arial, XXXX-XXXXX; XXXX-size: XXXXX;"><span style="color: #000000; XXXX-family: XXXXXXX, XXXXXX, XXXXX, XXXXXXXXX, XXXX-serif; font-XXXX: 12px; line-XXXXXX: XXXX;"><XXXXXX>XXX XXXX XXXXXXXX of these laws can be reduced to XXX XXXXXX-sense XXXXXXX:</XXXXXX></span></div> <ul style="border: 0px; XXXXXX: 0px XXX XXXX; padding: 0px 0px 0px 36px; font-XXXX: XXXX; XXXXXXXXX: ltr; line-XXXXXX: XXXX; list-style-XXXXXXXX: outside; font-XXXXXX: XXXXXXX, Geneva, XXXXX, Helvetica, sans-XXXXX;"> <li style="border: XXX; margin: XXX 0px; padding: 0px; direction: ltr;">XXXXXXXXX publicly XXXXXXXX securities for XXXXXXXXXX dollars XXXX XXXX XXX XXXXXX the XXXXX XXXXX XXXXX businesses, XXX securities they XXX XXXXXXX, XXX XXX risks involved in XXXXXXXXX.</li> <li style="border: XXX; margin: 9px XXX; padding: 0px; direction: XXX;">People who XXXX XXX trade securities &XXXXX; XXXXXXX, dealers, and exchanges &XXXXX; must XXXXX investors fairly and honestly, putting investors XXXXXXXXX XXXXX.</li> </XX> <div style="XXXXX: #222222; font-family: XXXXX, XXXX-serif; font-XXXX: small;"><span style="color: #XXXXXX; XXXX-XXXXXX: XXXXXXX, XXXXXX, XXXXX, XXXXXXXXX, XXXX-XXXXX;"><span style="XXXX-XXXX: XXXX; XXXX-XXXXXX: 18px;"><XXXXXX>c.FranklinD</XXXXXX>.<strong>Roosevelt</XXXXXX>was XXX XXXXXXXXX of XXX United XXXXXX at the XXXX of the creation of XXX.</span></span></div> <div style="XXXXX: #222222; XXXX-XXXXXX: arial, XXXX-serif; XXXX-XXXX: XXXXX;"><span style="font-XXXX: 12px; XXXX-XXXXXX: XXXX; color: #000000; XXXX-XXXXXX: Verdana, XXXXXX, XXXXX, XXXXXXXXX, XXXX-XXXXX;"><strong>JosephP</XXXXXX>.<strong>XXXXXXX</strong>,XX., XXXXXX XX President John X.Kennedy to XXXXX XX XXX XXXXX Chairman of the SEC.</span></div> <div style="padding: 0px; margin: 0px; outline: XXX; border-XXXXXXX: 0px; border-collapse: XXXXXXXX; overflow: XXXXXX; XXXX: X; XXXXX: #XXXXXX; XXXX-family: Open XXXX, XXXX-serif; font-XXXX: XXXX; line-height: XXXX;"></div> <div style="padding: XXX; margin: 0px; outline: 0px; border-XXXXXXX: 0px; border-collapse: XXXXXXXX; XXXXX: #XXXXXX; font-family: XXXX Sans, XXXX-XXXXX; font-size: XXXX; line-XXXXXX: XXXX;"></div> <div style="color: #XXXXXX; XXXX-family: XXXXX, sans-XXXXX; XXXX-size: XXXXX;">Images Not Shown<span style="XXXXX: #XXXXXX; XXXX-family: Verdana, Geneva, Arial, Helvetica, XXXX-XXXXX;"><span style="XXXX-size: XXXX; line-height: 18px;">XXXXXXXXX Roosevelt XXXXXXXXX XXXXXX X.Kennedy,Sr., XXXXXX of President John F.XXXXXXX XX XXXXX as XXX XXXXX Chairman XX the SEC.</span></span></div> <div style="color: #222222; font-family: XXXXX, XXXX-XXXXX; XXXX-XXXX: small;"><span style="color: #XXXXXX; font-family: XXXXXXX, XXXXXX, Arial, XXXXXXXXX, XXXX-XXXXX;"><span style="XXXX-XXXX: 12px; line-height: XXXX;"></span></span></div> <div style="color: #XXXXXX; font-XXXXXX: arial, sans-XXXXX; font-size: XXXXX;"><span style="XXXX-style: inherit; font-variant: inherit; XXXX-XXXXXX: inherit;">reference</span></div> <div style="XXXXX: #XXXXXX; font-family: XXXXX, sans-XXXXX; font-size: XXXXX;">question a -</div> <div style="XXXXX: #XXXXXX; font-XXXXXX: arial, sans-serif; font-size: XXXXX;">http://XXX.XXX.XXX/about/whatwedo.XXXXX#.XXXXXXXXXXX</div> <div style="XXXXX: #222222; font-XXXXXX: arial, sans-serif; XXXX-XXXX: XXXXX;">Question b -</div> <div style="XXXXX: #XXXXXX; font-XXXXXX: XXXXX, XXXX-XXXXX; font-XXXX: XXXXX;">http://www.XXX.XXX/about/whatwedo.XXXXX#.VMi7tdKUeao</div> <div style="XXXXX: #222222; font-family: arial, XXXX-XXXXX; font-size: XXXXX;">XXXXXXXX c</div> <div style="color: #XXXXXX; font-family: XXXXX, XXXX-XXXXX; XXXX-XXXX: XXXXX;">http://XXX.XXX.gov/about/XXXXXXXXXXXXXXXXXXXX.htm</div> <div style="XXXXX: #222222; XXXX-XXXXXX: XXXXX, XXXX-XXXXX; XXXX-XXXX: small;"></div> <div style="color: #XXXXXX; XXXX-family: arial, sans-XXXXX; XXXX-size: XXXXX;"></div>">
