Outline the ways the Securities Act has sought to fight insider trading.
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Outline the ways the Securities Act has sought to fight insider trading.
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- What are the criminal penalties incorporated by the Congress for violating the Securities Exchange Act of 1934?Discuss the legal requirements and implications of financial transactions and securities regulation, including insider trading and fraud prevention.Discuss the role of securities law in regulating the issuance and trading of stocks and bonds, as well as the legal obligations of companies in providing accurate and timely financial information to investors.
- Discuss the provisions of the Companies Act regarding the prevention of insider trading and market manipulation activities by company insiders.How does SEBI define and regulate different types of securities, such as shares, debentures, and derivatives?Identify and discuss U.S. federal laws that govern insider trading.
- What is the role of the Securities and Exchange Commission (SEC) in regulating securities markets? How does it enforce its regulations?The shareholders of Escalante company are suing the external auditors of the company. The shareholders are upset because the management of Escalante company produced overly positive financial statements and used these financial statements to lure new investors. Escalante company is now bankrupt, the managers are facing prison time, and the external auditors are in monetary damages settlement talks with shareholders of Escalante company. What role could the public company accounting oversight board (PCAOB) have played in avoiding this catastrophe?Explain the role of internal controls in preventing and detecting business fraud
- Your former accounting professor recently contacted you because she knows that you currently work for an accounting firm that performs compilation services for several privately held mining companies. The professor requested data concerning whether your firm’s clients capitalize or expense certain environmental clean-up costs. Your clients discuss their accounting policies openly with you, but do not disclose these policies to outsiders. Your professor has agreed in writing to keep your clients’ accounting policies confidential. Because the professor is a member of the AICPA, and she will not achieve any financial gain, you may disclose the requested information to the professor. Select one: True FalseWhat is the significance of a "non-disclosure agreement" (NDA) in protecting business secrets and confidential information?Perform an Internet search to access the text of the Securities Exchange Act of 1934. Read and summarize the internal control requirements of Section 13(b)(2) of the act.