Sarbanes–Oxley Act of 2002 led to the creation of the National Association of Securities Dealers (NASD). a.true b. false
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The Sarbanes–Oxley Act of 2002 led to the creation of the National Association of Securities Dealers (NASD).
a.true
b. false
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- It safeguards the investing public against losses in case of fraud, failure or insolvency of brokers and dealers who are members of the exchange. a. alert levels b, Phil. Stock Exchange c. Securities Investor Protection fund Inc. d. Dow Jones Industrial AverageThe Securities Exchange Act of 1934a. Regulates the public trading of previously issued securities through brokers and exchanges.b. Prohibits blue sky laws.c. Regulates the initial offering of securities by a company.d. Requires the registration of investment advisers.Which of the following is not one of the five primary responsibilities of the Securities and Exchange Commission (the SEC)? A. inform and protect investors B. regulate securities law C. facilitate capital formation D. assure that dividends are paid by corporations
- Choose the correct.The Securities Exchange Act of 1934:a. Regulates the public trading of previously issued securities through brokers and exchanges.b. Prohibits blue sky laws.c. Regulates the initial offering of securities by a company.d. Requires the registration of investment advisersWhich of the following statements is true? Choose the correct.a. The Securities Exchange Act of 1934 regulates intrastate stock offerings made by a company.b. The Securities Act of 1933 regulates the subsequent public trading of securities through brokers and markets.c. The Securities Exchange Act of 1934 is commonly referred to as blue sky legislation.d. The Securities Act of 1933 regulates the initial offering of securities by a company.Which of the following statements is true?a. The Securities Exchange Act of 1934 regulates intrastate stock offerings made by a company.b. The Securities Act of 1933 regulates the subsequent public trading of securities through brokers and markets.c. The Securities Exchange Act of 1934 is commonly referred to as blue sky legislation.d. The Securities Act of 1933 regulates the initial offering of securities by a company.
- In 2004, Google fi led a Form S-1 registration statement with the US SEC to register its initial public off ering of securities (Class A Common Stock). In addition to a large amount of fi nancial and business information, the registration statement provided a 20- page discussion of risks related to Google’s business and industry. Th is type of qualitative information is helpful, if not essential, in making an assessment of a company’s credit or investment risk. Which of the following is least likely to have been included in Google’s registration statement? A . Audited fi nancial statements. B . Assessment of risk factors involved in the business. C . Projected cash fl ows and earnings for the business.An important financial institution that assists in the initial sale of securities in the primary market is the investment bank. commercial bank. stock exchange. stock broker.You are a consultant working with various companies that are considering incorporating and listing shares on a stock exchange. Explain the importance of the EPS calculation to financial analysts who follow companies on the stock exchanges.
- Which of the following is not true of a registration statement? A . It helps the SEC make judgments about the worth of securities. B. It contains financial statements certified by independent public accountants. C. It provides information about the management of the company. D. It is different for different types of companies that offer securities for sale.In June 2001, in Oman, the Capital Market Authority issued the Corporate Governance Code, applicable to companies whose securities are listed on the Muscat Securities Market.The Code, drawn from codes of best practices from around the world but adapted to the local market, seeks to promote a "culture of compliance, transparency and accountability without limiting business initiative. Answer the following three questions . 31. Baker Tilly MKM (Oman) LLC is the auditor of United Power Company SAOG (Company) and has stated that the financial statements has fairly presented the financial performance and the cash flow for the year. The preparation of financial statements is the primary responsibility of a. Internal auditors of United Power Company SAOG b. Baker Tilly MKM (Oman) LLC c. Board of Directors d. Management at United Power Company SAOGWhich of the following statements is NOT true of PIPE transactions? In a PIPE transaction, investors purchase securities (equity or debt) directly from a publicly traded company in a private placement. PIPE transaction gives issuers faster access to capital. The securities are virtually always sold to the investors at a discount to the price at which they would sell in the public markets. PIPE transactions are registered with the SEC.
