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What are some characteristics of effective controls?
Rule 10b-5
A regulation enacted under the Securities Exchange Act of 1934 that prohibits fraud, misrepresentation, and insider trading in the securities market.
Nonpublic
Information or entities not accessible or known to the general public or specific non-designated individuals.
Confidential Information
Sensitive or proprietary data that is shared under the agreement of secrecy and is protected from unauthorized disclosure.
Insider Trading
The unethical and often illegal practice of trading on the stock exchange to one's own advantage through having access to confidential information.
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