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EC-Council

212-89 · Question #79

Identify Sarbanes-Oxley Act (SOX) Title, which consists of only one section, that includes measures designed to help restore investor confidence in the reporting of securities analysts.

The correct answer is B. Title V: Analyst Conflicts of Interest. The Sarbanes-Oxley Act (SOX) Title V, titled "Analyst Conflicts of Interest," contains measures specifically designed to restore investor confidence in the reporting of securities analysts. It addresses the issue of potential conflicts of interest for securities analysts who…

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Question

Identify Sarbanes-Oxley Act (SOX) Title, which consists of only one section, that includes measures designed to help restore investor confidence in the reporting of securities analysts.

Options

  • ATitle VIII: Corporate and Criminal Fraud Accountability
  • BTitle V: Analyst Conflicts of Interest
  • CTitle VII: Studies and Reports
  • DTitle IX: White-Collar-Crime Penalty Enhancement

How the community answered

(15 responses)
  • A
    7% (1)
  • B
    93% (14)

Explanation

The Sarbanes-Oxley Act (SOX) Title V, titled "Analyst Conflicts of Interest," contains measures specifically designed to restore investor confidence in the reporting of securities analysts. It addresses the issue of potential conflicts of interest for securities analysts who recommend stocks and other securities by requiring disclosure of certain relationships and financial interests between analysts and the companies they cover. This part of the SOX Act aims to ensure that investors receive unbiased and accurate information from analysts, thereby helping to restore trust in financial markets. Title V consists of only one section, making it unique compared to other titles within the Act that may encompass multiple sections or provisions.

Topics

#SOX compliance#Sarbanes-Oxley#regulatory compliance#securities analysts

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