Which of the Following Is Not an SEC Rule

question 33

Multiple Choice

Which of the following is not an SEC rule?

• A) Analysts at a securities firm underwriting an IPO cannot promote the new 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.

---

Definitions:

Impaired Social Skills

Difficulty in performing or understanding social interactions and cues appropriately.

Express Feelings

The act of verbalizing or demonstrating emotions or sentiments to others, often for emotional release or communication.

Medical Vocabulary

The specialized language used by healthcare professionals to describe the body, its conditions, and the procedures used to diagnose, treat, and care for patients.

Personal Questions

Inquiries into an individual's private matters or experiences, often not directly related to professional or formal contexts.