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In the case of an undisclosed principal, a third party 

The Dodd-Frank Act (D-FA) and the implementing SEC regulations placed controversial requirements on publicly traded companies regarding executive compensation. Which of the following was NOT a legislatively mandated requirement:

Two of your assignments directed  you to watch the PBS documentary Money, Power and Wall Street. Credit default swaps were discussed in the documentary. Credit default swaps were created to:

Which of the following was NOT discussed in the textbook as a bias or tendency causing human behavior to act in predictable but irrational ways:

According to the movie The Informant! which was assigned, the BEST reason(s) that the whistleblower Mark Whitacre received a greater jail sentence than Mick Andreas of ADM was:

What words best describes the liability of a sole proprietor?

Which of the following was NOT a feature that both the Enron and Worldcom cases had in common?

The primary overriding theme or lesson from our course which was demonstrated in the movie The Informant! is:

Assume the following facts: Guido enters the lobby of ABC Bank to conduct a transaction. The teller notices that Guido is approximately 20 years old, dirty, smells of burning marijuana, has squinty and bloodshot eyes and is eating a large bag of Cheetos. He deposits $4,000 in small denominations of cash into his account. The teller also notices that some of the bills deposited have a white powder residue and the odor of burning marijuana. Two hours later, Guido returns to the same bank’s drive thru window and deposits another $5,000 also in small denominations. This cash in this second deposit also smells of burning marijuana. Based on these facts, the teller at ABC Bank should do the following:

Episode Four of Money, Power and Wall Street discussed numerous locations where abuses in the derivative markets occurred. A location NOT discussed was: