C is corrent. Under the Securities Exchange Act of 1934, a corporation’s officers (and all other insiders) are required to report any changes in ownership of the corporation’s stock within 15 days. Also under the 1934 Act, the proxy statement, the proxy itself, and any proxy soliciting material concerning securities required to be registered under the 1934 Act must be filed with and approved by the SEC before it can be sent to shareholders.
A is incorrect. Notice of sales of the registered securities by the corporation’s officers must be filed with the SEC.
B is incorrect. Proxy material for the registered securities must be filed with the SEC.
D is incorrect. Both are required.
