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Sarbanes-Oxley Knowledge Test
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Sarbanes-Oxley Knowledge Test
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25 Questions

1. How did title IV of the Sarbanes-Oxley Act enhance the reporting requirements for financial transactions?
2. Under Sarbanes-Oxley-™s corporate responsibility provision
3. Which of the following are not relevant for the success of Section 404 Projects?
4. Besides the management of a company
5. Which of the following was established by the Sarbanes-Oxley Act?
6. How many SOX titles (sections) have been ammended?
7. Under SOX
8. The Sarbanes-Oxley Act (SOX) mandated strict reforms to improve financial disclosures from corporations and prevent what type of fraud?
9. A company that violates Sarbanes-Oxley Act compliance is subject to which of the following sanctions?
10. Which of the following companies does NOT have to comply with the all of The Sarbanes Oxley Act's regulatory mandates?
11. Which of the following is a specific requirement of the Sarbanes-Oxley Act?
12. Which is the official acronym for the Sarbanes-Oxley Act of 2002?
13. The Dodd-Frank financial reform bill permanently exempts small-companies from which key provision of section 404 of the Sarbanes-Oxley act?
14. How does the enforcement of the Sarbanes-Oxley Act help protect ordinary securities investors?
15. Identify the sub process of a Receivables Business Process.
16. Auditors were not the only targets of Sarbanes-Oxley. The act also includes a broad range of provisions dealing with:
17. Who is responsible for appointing the Chair and members of PCAOB?
18. Under the Sarbanes-Oxley Act
19. Under section 404 of Sarbanes Oxley
20. What is the purpose of the SOX Act?
21. Which statement is true regarding a company that is out of compliance with the Sarbanes-Oxley Act?
22. Within Sarbanes-Oxley
23. Who would be affected by Section 307's standards for professional conduct?
24. How many public accountants can there be on the PCAOB Board?
25. The Sarbanes-Oxley criminalizes retaliation against whistleblowers that provide -œtruthful information- to a -œlaw enforcement officer- about the -œcommission or possible commission of any Federal offense

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