Which of the following is NOT an example of a securities firm that experienced financial problems as a result of taking on excessive risk when engaging in proprietary trading?

Question 4 options:

1)	Washington Mutual

2)	Socit Gnrale

3)	Bear Stearns

4)	Barings Bank

Which of the following is NOT an SEC rule?

Question 3 options:

1)	Analysts at a securities firm underwriting an IPO cannot promote the new stock for the first 40 days after the IPO.

2)	An analyst's compensation should be directly aligned with the amount of business that the analyst brings to the securities firm.

3)	Analysts cannot be supervised by the investment banking department within the securities firm.

4)	When rating a security, an analyst must divulge any recent investment banking business provided by the analysts securities firm to the firm that issued the security.