1. Which of the following describes the duties of the Department of Corporate Finance?

Group of answer choices

a. Issues investigative subpoenas.

b. Regulates broker-dealers such as the National Association of Security Dealers.

c. Reviews and monitors accounting reports.

d. Monitors the accounting profession including groups that contribute to generally accept accounting principles (GAAP).

e. C and D

f. B and C

3. Which of the following rule-making entities is not affected by the Sarbanes-Oxley Act of 2002?

Group of answer choices

a. The PCAOB.

b. SEC

c. The Securities Act of 1934.

d. The Federal Trade Commission.