1)The regulation of securities began as a program to: 2) Sarbanes-Oxley provides

Question

1)The regulation of securities began as a program to:

2)

Sarbanes-Oxley provides protections for whistleblowers so that individuals are more willing to report the corruption that can lead to major scandals.

True or
False

3)

Under the 1934 Act, a business organization found guilty of filing false or misleading documents with the SEC may be fined up to:

4)

The Fair Credit Reporting Act regulates credit reports on both consumers and businesses.

True or
False

A. prohibit an individual's service as an officer or director. B. recover triple damages in civil actions against a user of nonpublic information. C. help the United States overcome the Great Depression of the 1930s. D. eliminate liabilities for short-swing profits made by insiders. E. help potential investors to make investment decisions based on less certain criteria.

Explanation / Answer

Dear Student, only one question is allowed at a time.

1) Before the Wall Street Crash of 1929, there was little regulation of securities in the United States at the federal level. The crash spurred the need to have a body regulating the securities.

So, option C that is "help the United States overcome the Great Depression of the 1930s." is the correct option.

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