Chap012
54 Pages

Chap012

Course Number: ACCT 5140, Spring 2011

College/University: UCLA

Word Count: 9823

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Chapter 12 - Financial Reporting and the Securities and Exchange Commission Chapter 12 Financial Reporting and the Securities and Exchange Commission Multiple Choice Questions 1. Which one of the following is not a division of the SEC? A. The Division of Corporation Finance. B. The Division of Investment Management. C. The Division of Compliance Information. D. The Division of Enforcement. E. The Division of...

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Chapter 12 - Financial Reporting and the Securities and Exchange Commission Chapter 12 Financial Reporting and the Securities and Exchange Commission Multiple Choice Questions 1. Which one of the following is not a division of the SEC? A. The Division of Corporation Finance. B. The Division of Investment Management. C. The Division of Compliance Information. D. The Division of Enforcement. E. The Division of Trading and Markets. 2. The goals of the SEC include all except which one of the following? A. Prohibiting the dissemination of materially misstated information. B. Controlling the number of companies whose stock is listed on major stock exchanges. C. Regulating the operation of securities markets. D. Ensuring that full and fair information is disclosed to all investors before the securities of a company are allowed to be bought and sold. E. Preventing the misuse of information especially by inside parties.

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