Corp gov - Samenvattingen, Aantekeningen en Examens

BOD committees required for companies listed on NYSE - (Think NCA - nominating, compensation, audit) 1. Nominating/corp gov committee. 2. Compensation committee 3. Audit Committee T/F: NASDAQ companies require the same corporate governance rules as NYSE - False. They require audit committee and compensation committee but not nominating/corp gov committee T/F: the G20/OECD principles are binding for all international companies adapting the principles - False. Nonbinding since many compani...

RDA Exam Study Guide Questions and Answers 100% Correct Autonomy - answerself determination Beneficence - answerbenefit to the pt code of ethics - answervoluntary standards of behavior est by profession Ethics - answerMoral standards of conduct; rules or principles that govern proper conduct HIPAA - answerhealth insurance portability & accountability act of 1996 - ensures privacy of pts health info Justice - answerfairness Laws - answermin. standards/behavior est. by population/professi...

Hearing - ANSWER To offer testimony and to examine witness. - 15 days notice and copy of complaint. Held at MREC Subpoena - ANSWER Issued for attendance and production of books and papers First Violation - ANSWER Not less $500 Not more $1000. Not more 90 Days Second Violation - ANSWER Not less $1000 Not more $2000. Not more than 6 Months First Corp. Violation - ANSWER Not more $2000 Second Corp. Violation - ANSWER Not less than $2000 not more than $50000 Commission - ANSWER 5...

Uiowa Finance in Sport Graded A+ Economics ️Study of how people to choose to allocate their scarce resources. Economic Choice are influenced by: ️Demand Scarcity Surplus Price Scarcity ️Teams don't move to every metropolitan area. Leagues restrict franchise movement so franchises don't move too close to one another Microeconomics ️Study of issues that occur at the firm level (Supply, Demand, Pricing) Macroeconomics ️Study of issues that affect numerous sectors of th...

Hearing - ANSWER To offer testimony and to examine witness. - 15 days notice and copy of complaint. Held at MREC Subpoena - ANSWER Issued for attendance and production of books and papers First Violation - ANSWER Not less $500 Not more $1000. Not more 90 Days Second Violation - ANSWER Not less $1000 Not more $2000. Not more than 6 Months First Corp. Violation - ANSWER Not more $2000 Second Corp. Violation - ANSWER Not less than $2000 not more than $50000 Commission - ANSWER 5...

FINRA SIE Real Exam Questions with All Correct Answers Types of Issuers - CORRECT ANSWERS - FCBUS F oreign gov C orporations B anks U .S. Treasury and gov agencies S tate and local gov - raise capital by issuing securities EQUITY = used by corporations (represents ownership) DEBT = represent an issuer's promise to pay (notes and bonds) Broker-Dealer - CORRECT ANSWERS - Broker acts as a middle man between buyer and seller (no risk to the firm) - payed Commission - Dealer ac...

Law correct answers Law is a group of rules and regulations that line out how governments treat their people and the ability to enforce it. Regulatory Role of Law correct answers directs and standardizes activities that would otherwise be considered purely private interactions of individuals Executive Law Powers correct answers Executive Orders, Appoint Executive Officials and Judges Judicial Law Powers correct answers Common Law (Judge Made/Case Law), Interpret Law, Judicial Review ...

RDA Exam Study Guide Questions and Answers 100% Correct Autonomy - answerself determination Beneficence - answerbenefit to the pt code of ethics - answervoluntary standards of behavior est by profession Ethics - answerMoral standards of conduct; rules or principles that govern proper conduct HIPAA - answerhealth insurance portability & accountability act of 1996 - ensures privacy of pts health info Justice - answerfairness Laws - answermin. standards/behavior est. by population/professi...

Munn v. Illinois correct answer: Grain elevators - when private property is devoted to public interest, it is subject to regulation. SC upheld the power of government to regulate industries. Lochner v. New York correct answer: Bakery work hours - SC struck down NY state law setting 10hr/day work limit in bakeries. Dissent became prevailing interpretation of due process by the 30's, when max hour laws were held Constitutional. NLRB v. Jones & Laughlin Steel Corp. correct answer: increas...

Section 1: Knowledge of Capital Markets The SEC purpose/mission when created jurisdiction authority protect investos, maintin fair orderly & efficient markets, facilitate capital formation by congress in 1934 US federal government enforce federal security laws & create laws that regulate securities industry enforces Securities act 1933/1934, trust indenture act 1939, investment company act 1940, investment advisors act 1940 SROs (Self-Regulatory Organizations) wha...