Q6. From the U.S. regulatory pyramid, which of the following choices lists the key participants from top to bottom? a. U.S. Congress, SEC, NYSE and other regulatory organizations, Individual brokerage firms b. individual brokerage firms, SEC, NYSE and other regulatory organizations, U.S. Congress c. NYSE and other regulatory organizations, U.S. Congress, Individual brokerage firms, SEC d. SEC, Individual brokerage firms, U.S. Congress, NYSE and other regulatory organizations Q7. With shareholder wealth maximization as the manager's goal, capital may be termed ________. a. borrowed b. patient c. bought d. impatient Q8. Signed into law on July 30, 2002, the ________ Act requires CEOs of publicly traded companies to vouch for the veracity of the firm's published financial statements. a. McCain-Merrill b. Sarbanes-Oxley c. Humphrey-Hawkins d. Smoot-Hawley Q9. Many financial concepts taught in basic finance courses are actually culturally determined norms. a. true b. false Q10. ________ is the study of how shareholders can motivate management to accept prescriptions of the shareholder wealth maximization model. a. Patient capitalism b. The theory of multinational finance c. The capital asset pricing model d. Agency theory