Which of the following Federal Acts require the SEC to develop guidelines for all publicly traded companies to report on...
Which of the following Federal Acts require the SEC to develop guidelines for all publicly traded companies to report on management's responsibilities for, and assessment of, the internal control system?
a. Securities Act of 1933
b. The Securities Exchange Act of 1934
c. The foreign Corrupt Practices Act of 1977
d. The Sarbanes-Oxley Act of 2002
Homework Answers
The Sarbanes-Oxley Act of 2002 requires the SEC to develop guidelines for all publicly traded companies to report on management's responsibilities for, and assessment of, the internal control system
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Which of the following Federal Acts require the SEC to develop guidelines for all publicly traded companies to report on...
Which of the following forms is used in connection with the registration of securities of a small reporting company with...
Which of the following forms is used in connection with the registration of securities of a small reporting company with $25 million of annual revenues and of $25 million of voting securities held by non-affiliates? S-8. S-3. S-4. S-1. S-11. Which one of the following requires the maintenance of accounting records and adequate internal accounting controls? Multiple Choice The Securities Act of 1933. The Securities Exchange Act of 1934. The Investment Company Act of 1940. The Foreign Corrupt Practices Act...
1. Which of the following is false regarding common and federal securities laws? a. The securities...
1. Which of the following is false regarding common and federal securities laws? a. The securities act of 1933 deals only with the reporting requirements for companies issuing new securities. b. -Rule 10-5b of the securities exchange act of 1934 is also known as the antifraud provision. C. -Ultramares doctrine states that ordinary negligence is insufficient for liability to third parties because of the lack of privity of contracts. d. A scienter is a specialist used in Rule 10-5b investigations....
1* During the late 1920s , approximately 55 oercent of all personal savings in the US...
1* During the late 1920s , approximately 55 oercent of all personal savings in the US were used to purchase securities. Pubic confidence in the business community was extremely high as stock values doubled and tripled in short periods jf time. The road to wealth was believed to be through the stock market, and everyone who was able participated. Thus, the public was severely affected when the Dow Jones Industrial Average fell 89 percent between 1929 and 1933. The public...
Business Law 21-6. Securities Act of 1933. Big Apple Consulting USA, Inc., provided small publicly traded...
Business Law
21-6. Securities Act of 1933. Big Apple Consulting USA, Inc., provided small publicly traded companies with a variety of services, including marketing, business planning, and Web site development and maintenance. CyberKey Corp. sold customizable USB drives. CyberKey falsely informed Big Apple that CyberKey had been awarded a $25 million contract with the Department of Homeland Security (DHS). Big Apple used this information in aggressively promoting CyberKey's stock and was compensated for the effort in the form of CyberKey...
Publicly traded companies file their financial statements with SEC (Securities Exchange Commission) periodically. 10K report refers...
Publicly traded companies file their financial statements with SEC (Securities Exchange Commission) periodically. 10K report refers to their annual filings and 10Q refers to their quarterly filings. You can access this information from company webpage (usually via a link named "investor relations", "legal", or "company information" Every publicly traded company has a link for investors on their webpage where they have all their published financial statements. Find AMAZON's 2016 and 2017 end of year (10K) Balance Sheet on the company...
Publicly traded companies file their financial statements with SEC (Securities Exchange Commission) periodically. 10K report refers...
Publicly traded companies file their financial statements with SEC (Securities Exchange Commission) periodically. 10K report refers to their annual filings and 10Q refers to their quarterly filings. You can access this information from company webpage (usually via a link named "investor relations", "legal", or "company information" Every publicly traded company has a link for investors on their webpage where they have all their published financial statements. Find AMAZON's 2016 and 2017 end of year (10K) Balance Sheet on the company...
3-2 Which of the following does not apply to the audit committee under the Sarbanes-Oxley Act...
3-2 Which of the following does not apply to the audit committee under the Sarbanes-Oxley Act of 2002? a. The audit committee is responsible for hiring, paying, and overseeing the work of the company's external auditors. b. The audit committee is responsible for establishing procedures for receiving and dealing with complaints and anonymous employee tips regarding fraud. c. At least one member of the audit committee is a financial expert. d. The audit committee reports to the external auditórs any...
1. Which of the following is false regarding common and federal securities laws? a. The securities...
1. Which of the following is false regarding common and federal securities laws? a. The securities act of 1933 deals only with the reporting requirements for companies issuing new securities. b. -Rule 10-5b of the securities exchange act of 1934 is also known as the antifraud provision. C. -Ultramares doctrine states that ordinary negligence is insufficient for liability to third parties because of the lack of privity of contracts. d. A scienter is a specialist used in Rule 10-5b investigations....
Ethically and to avoid fraud, it is very important for companies to record capital expenditures and revenue expenditure...
Ethically and to avoid fraud, it is very important for
companies to record capital expenditures and revenue expenditures
correctly.
Read “Ethics, Fraud, & Corporate Governance” on p. 414 of
Financial Accounting.
Research an article about another company with a scandal
related to fraudulent activities around capital expenditure versus
revenue expenditure. You may not select the same article as another
student.
Post a response in 150 to 200 words to the following
questions, providing specific examples to support your
answers:
•Provide...
Please try to answer all questions. Which of the following is false with regards to audit...
Please try to answer all questions.
Which of the following is false with regards to audit responsibility? The auditor of a public company is required to certify the annual financial statements. Auditing standards make no distinction between error or fraud; in either case, the auditor must obtain reasonable assuran misstatement. The auditor's responsibility for illegal acts is the same as for errors and fraud. Reasonable assurance is a high, but not absolute, level of assurance. -> Moving to the next...
1. Which of the following is false regarding common and federal securities laws? a. The securities act of 1933 deals only with the reporting requirements for companies issuing new securities. b. -Rule 10-5b of the securities exchange act of 1934 is also known as the antifraud provision. C. -Ultramares doctrine states that ordinary negligence is insufficient for liability to third parties because of the lack of privity of contracts. d. A scienter is a specialist used in Rule 10-5b investigations....
Business Law
21-6. Securities Act of 1933. Big Apple Consulting USA, Inc., provided small publicly traded companies with a variety of services, including marketing, business planning, and Web site development and maintenance. CyberKey Corp. sold customizable USB drives. CyberKey falsely informed Big Apple that CyberKey had been awarded a $25 million contract with the Department of Homeland Security (DHS). Big Apple used this information in aggressively promoting CyberKey's stock and was compensated for the effort in the form of CyberKey...
Publicly traded companies file their financial statements with SEC (Securities Exchange Commission) periodically. 10K report refers to their annual filings and 10Q refers to their quarterly filings. You can access this information from company webpage (usually via a link named "investor relations", "legal", or "company information" Every publicly traded company has a link for investors on their webpage where they have all their published financial statements. Find AMAZON's 2016 and 2017 end of year (10K) Balance Sheet on the company...
Publicly traded companies file their financial statements with SEC (Securities Exchange Commission) periodically. 10K report refers to their annual filings and 10Q refers to their quarterly filings. You can access this information from company webpage (usually via a link named "investor relations", "legal", or "company information" Every publicly traded company has a link for investors on their webpage where they have all their published financial statements. Find AMAZON's 2016 and 2017 end of year (10K) Balance Sheet on the company...
3-2 Which of the following does not apply to the audit committee under the Sarbanes-Oxley Act of 2002? a. The audit committee is responsible for hiring, paying, and overseeing the work of the company's external auditors. b. The audit committee is responsible for establishing procedures for receiving and dealing with complaints and anonymous employee tips regarding fraud. c. At least one member of the audit committee is a financial expert. d. The audit committee reports to the external auditórs any...
1. Which of the following is false regarding common and federal securities laws? a. The securities act of 1933 deals only with the reporting requirements for companies issuing new securities. b. -Rule 10-5b of the securities exchange act of 1934 is also known as the antifraud provision. C. -Ultramares doctrine states that ordinary negligence is insufficient for liability to third parties because of the lack of privity of contracts. d. A scienter is a specialist used in Rule 10-5b investigations....
Ethically and to avoid fraud, it is very important for
companies to record capital expenditures and revenue expenditures
correctly.
Read “Ethics, Fraud, & Corporate Governance” on p. 414 of
Financial Accounting.
Research an article about another company with a scandal
related to fraudulent activities around capital expenditure versus
revenue expenditure. You may not select the same article as another
student.
Post a response in 150 to 200 words to the following
questions, providing specific examples to support your
answers:
•Provide...
Please try to answer all questions.
Which of the following is false with regards to audit responsibility? The auditor of a public company is required to certify the annual financial statements. Auditing standards make no distinction between error or fraud; in either case, the auditor must obtain reasonable assuran misstatement. The auditor's responsibility for illegal acts is the same as for errors and fraud. Reasonable assurance is a high, but not absolute, level of assurance. -> Moving to the next...
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