1 . Which of the following did SOX NOT do to protect whistleblowers ?
2 . Dan provided original information to authorities regarding a securities fraud in his company . It led the SEC to impose penalties of $ 2 million . Which of the following is most likely to be Dan ' s award under Dodd-Frank ?
3 . Which of the following is necessary to be an audit committee financial expert , according to the criteria specified in the Sarbanes- Oxley Act of 2002 ?
4 . Which of the following did Dodd-Frank do regarding a whistleblower ' s right to sue for retaliation accorded by SOX ?
5 . A public company audit committee ' s " financial expert " must have all of the following except :
6 . Fang provided original information to authorities regarding a securities fraud in his company . The information led to an imposition of penalties of $ 500,000 . It also led to Fang being fired in retaliation by his public company employer . Which of the following is true ?
7 . Public company audit committees must contain which of the following ?
8 . Under SOX , it is a crime to punish a public company whistleblower who provides truthful information relating to which of the following :
9 . Mar has been complicit in her public company ' s accounting fraud . She consults a lawyer as the time comes to file her firm ' s 10-K with the SEC . She is a little uncomfortable with what she might have to do . The lawyer will likely tell her that she will have to certify ( and be potentially criminally liable for lying about ) these matters :