Unformatted text preview: appearance of Floyd being independent. At the very least, it would give users the impression that Floyd is not independent or objective, a violation of Rule 102 – Integrity and Objectivity. Greenberg’s introduction of Floyd, joking or not, is inappropriate. It projects the possibility of a conflict of interest, is false and misleading and could possibly lead to unreasonable expectations, which could possibly be a violation of Rule 502 – Advertising and Other Forms of Solicitation (but this may be a stretch). Greenberg’s affinity for Floyd will at least give the appearance of a lack of independence....
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- Spring '11
- Financial audit, U.S. Securities and Exchange Commission, Uniform Certified Public Accountant Examination, 1970s music groups