overturned the section of the Banking Act of 1933 that prohibited commercial banks from selling insurance or performing the functions of investment banks. O The Sarbanes-Oxley Act of 2002 O The Securities and Exchange Act of 1934 O The Financial Services Modernization Act of 1999 O The Securities Act of 1933

Q: The Securities Act of 1933 and Securities Exchange Act of 1934 containa. Civil liability provisions…

A: Answer:   Option d.

Q: What was the primary reason for the establishment of the 1933 Securities Act and the 1934 Securities…

A:

Q: The Sarbanes-Oxley Act was a market response to accounting fraud, and the Dodd-Frank act was a…

A: The Above Statement "The Sarbanes-Oxley Act was a market response to accounting fraud, and the…

Q: Why do corporations pay higher interest rates on debt than the US federal government?

A: Interest rates are charged based on the risk factor allotted to them. Higher the risk higher the…

Q: Which of the following is NOT a function of "The Bank" * Manage the growth of the money supply Act…

A: The answer are to the MCQ are given below :

Q: The following is true of deposit insurance, except     Depositor no longer has incentives to…

A: Deposit insurance is used to refer to the guarantee provided to protect the savings of the…

Q: Explain the role of the Shadow-banking system in the financial crisis of 2008 elaborately, no…

A: Shadow banking offers similar services as commercial banks however are not subject to stringent…

Q: Revenue bonds, compared with general obligation bonds, generally A.) Are paid out of property or…

A: Revenue Bonds: Revenue bonds are a type of municipal bond issued by a government agency or entity to…

Q: 4. Investment bank controversies Which of the following is true regarding the "revolving door"…

A: Revolving door: This term refers to the movement of employees from public sector jobs to private…

Q: Which of the following is not a responsibility of the Securities and Exchange Commission? Multiple…

A: The Securities and Exchange Commission (SEC) is an independent federal government agency in the…

Q: The government normally sets the following to regulate the behavior of the players in the financial…

A: Government is the body which makes regulations or laws to control organization and to protect public…

Q: ights reserved. Match each legislative act with its chief accomplishment. created an income tax to…

A: The Federal Reserve Act, signed into law in 1913, aimed to address financial instability in the…

Q: 10. What types of practices are prohibited under the Fair Debt Collection Practices Act?

A: There are a number of different types of practices that are prohibited under the Fair Debt…

Q: Loans to executives were prohibited by Act of 2002 the Sarbanes-Oxley because:

A: Answer:- Loans to executives were prohibited by the Sarbanes-Oxley Act of 2002 because they can…

Q: Which comment about regulators below is TRUE? All US financial institutions regulators use a CAMELS…

A: True Statement- All the Us financial institutions regulators use a CAMELS rating system to assess…

Q: oldings of government bonds are classified on a bank's balance sheet as Group of answer choices…

A: Bonds are a good source of investment and finance and governments issue bonds to raise money for the…

Q: Question 24 of 25. Which Act requires financial institutions to explain to customers how they gather…

A: Steps 2 in the solution .

Q: 8-Organizations that help investors trade securities created by corporations and the government are…

A: The corporation or the government issues securities to raise the fund. When the securities are…

Q: Reasons why it is important to regulate Banks especially after Covid19

A: In simple words, banks refers to the financial institutions that works as the mediators between the…

Q: Explain the allegations of “rigging the market” in the recent LIBOR scandal and in that light…

A: The LIBOR scandal was one of the most recent scandals that shook the financial markets. As the name…

Q: The Dodd-Frank Act: O A regulatory bill meant to guard against the irresponsibility that caused the…

A: The Dodd-Frank Act, a comprehensive regulatory solution, was implemented to fortify the financial…

Q: The Securities and Exchange Commission may do all but which of the following acts under The…

A: Introduction: The Securities Enforcement Remedies and Penny Stock Reform Act of 1990 was enacted to…

Q: 9. What type(s) of corrective action might bank regulators take against a 'problem bank'? A. Examine…

A: A problem bank is referred to as a bank that is in potential danger of failure.

Q: Interest payments on federal government bonds which are owned by the central bank 1, are recorded…

A: Interest payment is made by the issuer of securities to the buyer of securities in the consideration…

Q: a) Discuss the rationale and the implications of ring-fencing regulation in the UK banking industry

A: From January 2019 all large banks in UK are required to separate their core retail banking services…

Q: Which of the following is the Securities and Exchange Commission (SEC) provision that defines…

A: The SEC provision that defines securities fraud is option D, Rule 10b - 5Explanation: Securities…

Q: thorough explanation of the succesful and unsuccesful financial regulation that combat the 2008/9…

A: The financial crisis refers to the situation in which the value of a country's assets declines at a…

Q: Purpose of the Anti-Money Laundering Act (RA 9160

A: The Anti money Laundering Act shall be known as the “Anti-Money Laundering Act of 2001.”

Q: What are the defenses that someone can take to charges of violations under the 1933 securities act?

A: Defenses are explained below

Q: 1)List and explain the General Standards.

A: Auditor is the term referred to the person who is permitted to analyse and prove the accuracy of…

Q: committee deals with the judiciary functions of banks

A: Banks: Banks are the financial institutions whose major function is to provide loans and accept…

Q: on the basis of your knoledge in finance and banking what is the main reason for the criminalisation…

A: Dud Cheque It is the Cheque that could not be paid as a person who wrote the cheque has no money or…

Q: “The debt of government-owned corporation is guaranteed by the full faith and credit of the U.S.…

A: Full faith and credit means the unconditional commitment and guarantee provided by government with…

Q: Which types of loans to executives are permitted by the Sarbanes–Oxley Act?

A: Personal loans to executives are not allowed under Sarbanes–Oxley Act as it may lead to lack of…

Q: What was established as a result of the passage of the Dodd Frank law by Congress to provide…

A: The answer for the theory question on the passage of Dodd Frank law is presented hereunder : The…