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:

Comprehensive Services

A broad range of support services provided to meet varied needs, often in a community or educational setting.

Head Start Program

The Head Start Program is a federal initiative in the United States that provides early childhood education, health, nutrition, and parent involvement services to low-income children and families.

Low-income Families

Households with financial resources significantly below the average, often resulting in economic hardship.

Transitional Kindergarten

An educational program serving as a bridge between preschool and kindergarten for children who are not yet old enough to enroll in kindergarten.