Quiz

1. Chief Operating Officer
   Chief Financial OfficeChief Executive OfficerChief Legal Officer

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QUESTION 2

1. True or False:  Private companies and non-profit organizations may choose to follow SOX to show their commitment to good governance.   True
   False

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QUESTION 3

1. Multiple Answer:Which of the following did the chapter describe as major corporate privacy concerns?Select all that apply.Privacy of Disclosed Data
   Privacy of Employee Data
   Privacy of Corporate Data
   Privacy of Customer Data

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QUESTION 4

1. Multiple Choice:  What is the maximum prison sentence for a corporate officer who willfully makes a fraudulent certification on a required SEC report?
   20 years5 years10 years15 years

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QUESTION 5

1. Multiple Choice:What is the definition of the acronym ICFR?International Controls over Financial Regulations
   International Controls over Financial ReportingInternal Controls over Financial Regulations
   Internal Controls over Financial Reporting

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QUESTION 6

1. Multiple Choice:What is the name of the SEC’s database that contains the corporate financial filings?COSO
   ISACA
   PCAOB
   EDGAR

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QUESTION 7

1. Multiple Choice:Which SOX section specifies the financial reports a publically traded corporation must file?906
   809
   302
   404

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QUESTION 8

1. Multiple Choice:Which of the following is not a disclosure control report required by the SEC?10-Q
   8-K
   8-Q
   10-K

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QUESTION 9

1. True or False:  Since SOX does not define reasonable assurance, the SEC and PCAOB interpret reasonable assurance to be absolute assurance.
   True
   False

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QUESTION 10

1. Match the items with the organization responsible for creating and maintaining them.
   – A. B. C. D. GAIT – A. B. C. D. 27002:2013
   – A. B. C. D. SP 800-53
   – A. B. C. D. COBIT
   A.Institute of Internal Auditors.       B.International Organization for Standardization and the International Electrotechnical Commission.      C.National Institute of Standards and Technology.        D.Information Systems Audit and Controls Association

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