nn a. Nationally recognized statistical rating orga b. Securities broker-dealers

Question

nn a. Nationally recognized statistical rating orga b. Securities broker-dealers c. FINRA d. Commodity-based swap dealers 36. Which of the following is NOT a source of regulations governing all publicly-traded companies? a. The Securities Exchange Commission b. Any stock exchange on which the company's stock is listed for trading c. The Commodity Futures Trading Commission d. The Securities Exchange Act of 1934 37. Which of the following is NOT a requirement for all companies whose stock is listed for trading on the New York Stock Exchange? a. b. c. d. Separation of Chief Executive Officer and Chairman of the Board functions Code of Ethics for corporate officers, directors and employees Audited financial statements prepared by PCAO8-registered CPA firm Periodic meetings of independent directors in "executive session," excluding Company officers 38. The CEO of a publicly-traded company located in New York fires its assistant chief accountant for reporting the Company's apparently fraudulent accounting to the Company's Audit Committee The former employee-accountant did not report the fraudulent entries to the SEC. If the former-employee accountant sues the Company in Federal court in New York under the Anti- retaliation provisions of the Dodd Frank Act, and the Company-employer moves to dismiss the complaint, the District Court will probably a. Dismiss the accountant-employee's complaint on the ground that termination of employment does not constitute "retaliation" within the meaning of the Dodd-Frank Act Dismiss the accountant-employee's complaint, on the ground that he is not within the definition of "whistleblower" because he did not report the fraud to the SEC Dismiss the accountant-employee's complaint, on the ground that even if the accountant's termination does constitute "retaliation," the anti-retaliation provisions of the Dodd Frank Act are nullified by the statutes's conflicting "whistleblower" definition Uphold the accountant-employee's complaint, citing the Second Circuit's decision in Berman v. Neo@Ogilvy LLC b. c. d. 39. An "investment company" is - A company whose principal business is buying and holding minority shares of other companies a. b. A company whose principal business is providing investment advice to clients c A type of company also known as an "investment bank

Explanation / Answer

Question Answer Explanation 36 c All others are applicable to all companies 37 a It is not the requirement for all companies 38 c 39 b It provides investment advice.

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