Which of the Following Is NOT an SEC Rule

question 13

Multiple Choice

Which of the following is NOT an SEC rule?

• A)Analysts at a securities firm underwriting an IPO cannot promote the stock for the first 40 days after the IPO.
• B)An analyst's compensation should be directly aligned with the amount of business that the analyst brings to the securities firm.
• C)Analysts cannot be supervised by the investment banking department within the securities firm.
• D)When rating a security, an analyst must divulge any recent investment banking business provided by the analyst's securities firm to the firm that issued the security.

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Definitions:

Elderly Women

Refers to women of advanced age, typically considered to be those who are 65 years of age and older.

Depression

A common mental health disorder marked by persistent sadness, lack of interest or pleasure in activities, and other emotional and physical symptoms.

United States

A country located in North America, consisting of 50 states and known for its significant cultural and political influence worldwide.

Psychotic Disorder

A mental disorder characterized by a disconnection from reality, often manifesting as delusions or hallucinations.