3) The Sarbanes-Oxley Act (SOX) overhauled incentives and the independence in the auditing
process by:
A) requiring the CEO and CFO to return bonuses or profits from the sale of stock that are later
shown to be due to misstated financial reports.
B) imposing large compliance costs on small companies.
C) requiring auditing firms to have long-standing relationships with their clients and receive
lucrative auditing and consulting fees from them.
D) putting strict limits on the amount of non-audit fees (consulting or otherwise) that an
accounting firm can earn from a firm that it audits.
4) The Sarbanes-Oxley Act (SOX) forced companies to validate their internal financial control
processes by:
A) putting strict limits on the amount of non-audit fees (consulting or otherwise) that an
accounting firm can earn from a firm that it audits.
B) requiring the CEO and CFO to return bonuses or profits from the sale of stock that are later
shown to be due to misstated financial reports.
C) requiring auditing firms to have long-standing relationships with their clients and receive
lucrative auditing and consulting fees from them.
D) requiring senior management and the boards of public companies to validate and certify the
process through which funds are allocated and controlled.
5) The Dodd-Frank Wall Street Reform and Consumer Protection Act does the following:
A) Exempts firms with less than $75 million in publicly traded shares from some provisions of
SOX.
B) Requires the SEC to study ways to reduce the cost of SOX for firms with less than $250
million in publicly traded shares.
C) Strengthens whistle-blower provisions of SOX.
D) All of the above.