4) In response to accounting scandals in 2002, the federal government passed legislation requiring
among other things that auditors disclose any potential conflicts of interest. 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
5) The Sarbanes-Oxley Act of 2002
A) created the Consumer Financial Protection Bureau to be housed in the Federal Reserve.
B) mandates that firms raise funds for expansion only through the sale of stock or from bank loans, but
not from the sale of corporate bonds.
C) requires that CEO’s personally certify the accuracy of financial statements.
D) established the Financial Stability Oversight Council to identify risks to the financial system.
6) When mortgage loans are securitized, they are
A) bundled together by financial institutions and sold to investors.
B) issued to borrowers with flawed credit histories.
C) issued to borrowers who fail to document their income.
D) guaranteed by the federal government.
7) Subprime mortgages are
A) mortgages issued to borrowers who fail to document that their incomes are high enough to afford
their mortgages.
B) mortgages which are bundled together by financial institutions and sold to investors.
C) mortgages issued to borrowers with flawed credit histories.
D) government-backed mortgages issued by Fannie Mae and Freddie Mac.