c. Alert the client company\'s General Counsel or Chief Executive Officer d. Res

Question

c. Alert the client company's General Counsel or Chief Executive Officer d. Resign · against foreign countries and foreign nationals disfavored as a matter of U.S. foreign policy, such as North Korea, Iran, Cuba and Russia is 46. The agency of the U.S. Government primarily responsible for administering economic sanctions a. FINCEN b. OFAC c. Department of State d. FBI 47. In imposing certain corporate governance requirements on public companies, the Sarbanes Oxley Act a. b. Entered an area formerly left largely to State regulation Added to the established pattern of Federal regulation of corporate structure of public i. companies c. d. Copied requirements already imposed by most States' corporate laws Superseded and replaced most States' corporate laws 48. The NASDAQ National Market System is- a. b. c. d. A national securities exchange A network of member broker-dealers for OTC transactions The principal lobbying organization of the securities industry The principal professional disciplinary authority for broker-dealers 49. A "private equity" firm is a. A form of publicly-traded investment company b. A broker-dealer specializing in penny stocks c. A privately-owned brokerage firm d. An investment firm focused on taking public companies private 50. An "accredited investor" is - a. b. c. d. An investor qualified to trade on a national stock exchange An individual with a net worth over $1 million An institution, such as a bank or an insurance company An investor qualified to write options

Explanation / Answer

50- b

AN INDIVIDUAL WITH A NET WORTH OVER 1 MILLION

49-C

a PRIVATELLY OWNED BROKERAGE FIRM

48-B

A NETWORK OF MEMBERS BROKER DEALER FOR OTC TRANSACTIONS

47-b

added to established pattern of federal regulation of corporate structure of public companies

46-B

Office of Foreign Assets Control

Related Questions

Navigate

• Browse (All)
• Browse C
• Subjects

---

---

Integrity-first tutoring: explanations and feedback only — we do not complete graded work. Learn more.