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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, XXXXXXXXX, sans-serif; line-XXXXXX: XXXX;"><XXXXXX>XXXXXXXXXXXXXXXXXX</strong>include insider XXXXXXX, XXXXXXXXXX XXXXX, and XXXXXXXXX XXXXX or XXXXXXXXXX information XXXXX XXXXXXXXXX and XXX XXXXXXXXX XXXX issue XXXX.</p> <div style="color: #XXXXXX; font-XXXXXX: XXXXX, XXXX-serif; font-XXXX: XXXXX;"></div> <div style="XXXXX: #222222; XXXX-family: arial, sans-serif; font-XXXX: small;"><XXXXXX>b</strong>)<span style="XXXXX: #XXXXXX; font-family: XXXXXXX, Geneva, XXXXX, Helvetica, XXXX-serif; XXXX-size: 12px; line-height: 18px;">Based XX XXX XXXXXXXX in these hearings, XXXXXXXX — XXXXXX XXX peak XXXX XX the XXXXXXXXXX &XXXXX; XXXXXX the Securities XXX of XXXX. This law, together XXXX XXX XXXXXXXXXX XXXXXXXX Act of 1934, which XXXXXXX the SEC, was designed to XXXXXXX investor XXXXXXXXXX in our XXXXXXX markets by XXXXXXXXX investors and the markets with more reliable XXXXXXXXXXX XXX clear XXXXX of honest XXXXXXX.</span></div> <div style="XXXXX: #XXXXXX; font-XXXXXX: arial, sans-XXXXX; font-XXXX: small;"><span style="XXXXX: #XXXXXX; XXXX-family: Verdana, XXXXXX, Arial, XXXXXXXXX, XXXX-serif; XXXX-XXXX: 12px; line-height: XXXX;"><strong>XXX main XXXXXXXX of XXXXX laws XXX be reduced to two common-XXXXX XXXXXXX:</XXXXXX></span></div> <XX style="border: XXX; XXXXXX: XXX XXX XXXX; padding: XXX 0px 0px XXXX; XXXX-XXXX: 12px; XXXXXXXXX: ltr; XXXX-XXXXXX: XXXX; list-style-XXXXXXXX: XXXXXXX; XXXX-XXXXXX: XXXXXXX, Geneva, Arial, Helvetica, sans-XXXXX;"> <li style="border: XXX; XXXXXX: XXX 0px; padding: XXX; XXXXXXXXX: ltr;">Companies publicly XXXXXXXX XXXXXXXXXX XXX XXXXXXXXXX XXXXXXX must tell XXX public the truth XXXXX their businesses, XXX securities XXXX XXX XXXXXXX, XXX XXX risks XXXXXXXX in XXXXXXXXX.</li> <li style="border: 0px; margin: 9px 0px; padding: XXX; direction: XXX;">XXXXXX XXX XXXX and trade XXXXXXXXXX – XXXXXXX, XXXXXXX, and XXXXXXXXX &XXXXX; XXXX XXXXX investors fairly and XXXXXXXX, putting XXXXXXXXX interests first.</li> </ul> <div style="color: #XXXXXX; XXXX-XXXXXX: arial, sans-serif; font-size: XXXXX;"><span style="color: #XXXXXX; XXXX-family: Verdana, Geneva, Arial, XXXXXXXXX, XXXX-XXXXX;"><span style="font-XXXX: 12px; XXXX-XXXXXX: 18px;"><strong>c.FranklinD</strong>.<XXXXXX>Roosevelt</strong>XXX the XXXXXXXXX of XXX XXXXXX XXXXXX at the XXXX XX XXX creation of XXX.</span></span></div> <div style="color: #XXXXXX; XXXX-XXXXXX: XXXXX, XXXX-serif; font-size: XXXXX;"><span style="font-XXXX: XXXX; XXXX-height: 18px; color: #XXXXXX; XXXX-family: Verdana, Geneva, Arial, Helvetica, sans-serif;"><XXXXXX>JosephP</strong>.<XXXXXX>Kennedy</XXXXXX>,XX., father XX President XXXX X.Kennedy to XXXXX as XXX XXXXX Chairman of XXX SEC.</span></div> <div style="padding: XXX; margin: 0px; XXXXXXX: 0px; border-spacing: XXX; border-collapse: separate; XXXXXXXX: XXXXXX; zoom: X; XXXXX: #XXXXXX; font-XXXXXX: XXXX Sans, XXXX-XXXXX; XXXX-size: 14px; XXXX-XXXXXX: XXXX;"></div> <div style="padding: 0px; margin: XXX; outline: 0px; border-XXXXXXX: XXX; border-collapse: XXXXXXXX; XXXXX: #333333; XXXX-XXXXXX: Open XXXX, sans-XXXXX; font-XXXX: XXXX; XXXX-height: 20px;"></div> <div style="XXXXX: #222222; font-XXXXXX: arial, XXXX-serif; XXXX-size: XXXXX;">Images Not Shown<span style="color: #XXXXXX; XXXX-XXXXXX: Verdana, XXXXXX, XXXXX, Helvetica, sans-serif;"><span style="XXXX-XXXX: XXXX; XXXX-height: XXXX;">XXXXXXXXX Roosevelt appointed Joseph X.Kennedy,Sr., XXXXXX XX President John F.Kennedy XX XXXXX XX XXX XXXXX Chairman of XXX XXX.</span></span></div> <div style="XXXXX: #222222; font-family: arial, XXXX-XXXXX; XXXX-size: XXXXX;"><span style="color: #XXXXXX; font-XXXXXX: XXXXXXX, XXXXXX, Arial, Helvetica, XXXX-serif;"><span style="XXXX-size: XXXX; XXXX-height: 18px;"></span></span></div> <div style="color: #222222; XXXX-XXXXXX: XXXXX, sans-XXXXX; font-size: XXXXX;"><span style="XXXX-style: inherit; XXXX-XXXXXXX: inherit; font-weight: inherit;">reference</span></div> <div style="color: #222222; font-XXXXXX: arial, sans-XXXXX; XXXX-XXXX: XXXXX;">XXXXXXXX a -</div> <div style="XXXXX: #XXXXXX; XXXX-family: arial, XXXX-serif; font-size: small;">XXXX://www.sec.XXX/about/whatwedo.shtml#.VMi5wNKUeao</div> <div style="color: #XXXXXX; XXXX-XXXXXX: XXXXX, XXXX-XXXXX; font-XXXX: XXXXX;">Question b -</div> <div style="XXXXX: #XXXXXX; font-family: XXXXX, sans-serif; XXXX-size: small;">XXXX://www.sec.gov/about/whatwedo.shtml#.XXXXXXXXXXX</div> <div style="color: #XXXXXX; font-XXXXXX: XXXXX, sans-serif; XXXX-size: XXXXX;">Question c</div> <div style="XXXXX: #222222; font-XXXXXX: arial, XXXX-XXXXX; font-size: small;">XXXX://XXX.sec.gov/XXXXX/sechistoricalsummary.XXX</div> <div style="XXXXX: #222222; font-XXXXXX: XXXXX, XXXX-XXXXX; font-XXXX: small;"></div> <div style="color: #222222; XXXX-family: XXXXX, sans-XXXXX; font-XXXX: small;"></div>">
