5) In response to accounting scandals in 2002, the federal government passed legislation
requiring that corporate directors have a certain level of expertise with financial information and
mandating that chief executive officers personally certify the accuracy of financial statements.
What is the name of this legislation?
A) the Accountant Reliability Act
B) the 24th amendment to the Constitution
C) the Kennedy-Lott Act
D) the Sarbanes-Oxley Act
6) Compared to buying stock in a publicly-held firm, investing in a private firm
A) is often considered safer because private firms are subject to stricter SEC regulations.
B) is often considered riskier because public firms are subject to stricter SEC regulations.
C) is often considered riskier because private firms are subject to stricter SEC regulations.
D) is often considered safer because public firms are subject to stricter SEC regulations.
7) In addition to requiring that CEO’s personally certify the accuracy of financial statements, the
Sarbanes-Oxley Act of 2002 also requires that
A) CEO’s conduct audits of their corporations themselves.
B) firms raise funds for expansion through the sale of bonds only, not stocks.
C) auditors disclose any potential conflicts of interest.
D) corporations issue financial statements monthly rather than quarterly.