Aregistered representative in your office wants to sell an issue of a private offering for another firm. this would be allowed if all of the following provisions are met except(a)written notice is filed with finra(b)the member firm provides written approval for the transactions(c)the private offering has satisfied sec and state requirements(d)information related to the offering is provided to the rr's broker/dealer upon request

Mark knopf is an auditor who has been asked to provide an audit and financial statement certification for a company that is going public on the new york stock exchange. knopf wants to know his personal liability if the company provides him with inaccurate or false information. which of the following sources of law will him answer that question? a. the city ordinances where the company headquarters is located. b. the state constitution of the state where the company is incorporated. c. code of federal regulations. d. all of the above