Which of the following are main functions/purposes of the Sarbanes-Oxley Act of 2002?
A) To issue cease-and-desist orders against violators of any federal securities law and to seek civil monetary penalties against any violators.
B) To create rules to require brokers and dealers to provide information concerning prices and risks associated with the penny-stock market and to seek civil monetary penalties against those who violate such rules.
C) To permit the Securities and Exchange Commission to exempt persons,securities,and transactions from securities regulations,thereby promoting private-sector economic growth.
D) To increase corporate disclosure requirements and penalize violators of securities laws more heavily.
E) To decrease the regulatory authority of the Securities and Exchange Commission and to promote corporate self-regulation in terms of the issuance and sale of corporate stock.
Correct Answer:
Verified
Q34: Which of the following are examples of
Q35: Section 16(b)of the Securities Exchange Act of
Q36: Which of the following legislation allows the
Q37: The United States Congress passed the _
Q38: Insider trading occurs if a company employee
Q40: The Securities and Exchange Commission is headed
Q41: Which of the following refers to a
Q42: Which of the following refers to the
Q43: Which of the following is a written
Q44: A(n)_ investor is a private investor who
Unlock this Answer For Free Now!
View this answer and more for free by performing one of the following actions
Scan the QR code to install the App and get 2 free unlocks
Unlock quizzes for free by uploading documents