Which of the Following Is Not an SEC Rule

question 19

Multiple Choice

Which of the following is not an SEC rule?

• A)Analysts of securities firms underwriting an IPO cannot promote 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 securities department within the securities firm.
• D)An analyst's rating must divulge any recent securities business provided by the securities firm that assigned the rating.

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Definitions:

Learned Behavior

Skills or responses that are acquired through observation, experience, or instruction, rather than being innate or instinctual.

Shyness

A feeling of apprehension, lack of comfort, or awkwardness especially when a person is around other people.

Decreased

To become smaller or less in size, amount, intensity, or degree.

Fluctuated

To change or cause to change position constantly; to vary or oscillate unpredictably.