c. Alert the client company's General Counsel or Chief Executive Officer d. Resign against foreign countries and foreign nationals disfavored as a matter of U.S. foreign policy, such as North Korea, Iran, Cuba and Russia is 46. The agency of the U.S. Government primarily responsible for administering economic sanctions a. FINCEN b. OFAC c. Department of State d. FBI 47. In imposing certain corporate governance requirements on public companies, the Sarbanes Oxley Act a. b. Entered an area formerly left largely to State regulation Added to the established pattern of Federal regulation of corporate structure of public i. companies c. d. Copied requirements already imposed by most States' corporate laws Superseded and replaced most States' corporate laws 48. The NASDAQ National Market System is- a. b. c. d. A national securities exchange A network of member broker-dealers for OTC transactions The principal lobbying organization of the securities industry The principal professional disciplinary authority for broker-dealers 49. A "private equity" firm is a. A form of publicly-traded investment company b. A broker-dealer specializing in penny stocks c. A privately-owned brokerage firm d. An investment firm focused on taking public companies private 50. An "accredited investor" is - a. b. c. d. An investor qualified to trade on a national stock exchange An individual with a net worth over $1 million An institution, such as a bank or an insurance company An investor qualified to write options