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Question 20

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Observations of regulatory violations made from areas open to the public are known as:

Select one:

a.

"open-air" observations

b.

"close-air" observations

c.

"free-field" observations

d.

"public-field" observations

e.

none of the other choices are correct

uestion 28

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In Chevron v. NRDC the Supreme Court held that court of appeals, when considering challenges to agency regulations, must give deference to the agency decision unless the regulations are arbitrary or contrary to a statute passed by Congress.

Select one:

True

False

Question 39

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Studies indicated that the enactment of the Sarbanes-Oxley Act has:

Select one:

a.

led to more investment in U.S. stock exchanges

b.

led to lower costs for small businesses

c.

led to corporate business shifting away from the U.S. to competitors such as London

d.

led to corporate business shifting away from places like London and to the U.S.

e.

an increase in purchases of government bonds

Question 42

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When a securities professional buys stock for her own account, then urges investors to buy the same stock so that the price will rise, and benefit her, has engaged in:

Select one:

a.

kiting

b.

churning

c.

dealing

d.

schmoozing

e.

none of the other choices

Explanation / Answer

20. "public-field" observations

28. True

39. led to corporate business shifting away from the U.S. to competitors such as London

42. schmoozing

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