9. The SEC regulation that prescribes the content of SEC filings other than financial statements is a. The Securities Act of 1933 b. The Securities Exchange Act of 1934 c. SEC Regulation D d. SEC Regulation S-K 10. As a direct response to the financial frauds in Enron and WorldCom, the Sarbanes-Oxley Act Requires CEOs and CFOs to certify financial statements and related filings Prohibits CEOs from also serving as chairman of the board of directors Requires audit committees to be comprised entirely of individuals with financial accounting and auditing expertise Requires all annual and quarterly financial information to be audited a. b. c. d. 11. Securities intermediaries often act in multiple capacities. Broker-dealers as well as investment advisors give investment advice; investment funds as well as broker-dealers buy and sell securities. Which one of the following statements is NOT correct: a. Broker-dealers that do not receive special compensation for investment advice are b. Mutual funds, private equity funds and hedge funds are investment pools in which c. Fund advisers who manage registered mutual funds must register as "investment d. Fund advisers who manage only unregistered private funds do not have to register as exempt from regulation as investment advisors investors entrust their money to obtain diversification and professional management advisers" with the SEC "fund advisers" with the SEC 12. Congress took an integrated approach to the matter of whistle-blowing by prohibiting retaliation against whistleblowers and encouraging the act of whistle-blowing under which act? a. The Sarbanes-Oxley Act b. The Private Securities Litigation Reform Act c. False Claims Act of 1963 d. Federal Sentencing Guidelines Act