Question 1
Which of the following acts abolished fixed commission schedules?Question 2
Which of the following are provisions of the Sarbanes-Oxley Act of 2002?I. | an oversight board to monitor the accounting industry |
II. | tougher penalties for executives who commit corporate fraud |
III. | stricter prohibitions against insider trading |
IV. | guidelines for analysts conflicts of interest |
Answer 1
Securities Acts Amendments of 1975Answer 2
I, II and IV only