The Dodd-Frank Act Requires Auditors to Report on Broker-Dealer Compliance

question 39

Multiple Choice

The Dodd-Frank Act requires auditors to report on broker-dealer compliance with internal control:

• A)Over financial reporting as of year-end.
• B)Operational effectiveness as of year-end.
• C)Over compliance with various SEC requirements during the most recent fiscal year.
• D)In conjunction with the Foreign Corrupt Practices Act.