| Answer the next 10 questions in the boxes provided |  |
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| 1. What was the basis for the
argument made during the Internet Bubble that internet companies were
not like other companies financially and so their performance should not
be analyzed in the same way as brick and mortar
companies? |
Your Primary E-Mail Address:
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| 2. What forces were at
play to encourage investment banking houses to break down the barriers
between their analysts and salesmen? |
3. Define the term
"document" under Securities Law?
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| 4. What problems do you see
stemming from the Federal law that now allows commercial
banks to be insurance companies, brokerages and investment bankers?
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5. What is the Martin
Act and why was it critical to the investigation? |
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| 6. Discuss why the traditional
concepts of bribery and kickbacks must be somewhat modified in applying
them to the arrangements between stock analysts and the companies they
research.
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7. Why is the standard stock rating
system (buy, hold, etc.) used in one form or another by all Wall Street
firms so flawed. |
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| 8.
Why is the threat of a civil suit often
more useful than immediate criminal charges during the initial stages of
an investigation into corporate wrong doing?
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9. Why did so
many of the big firms settle so quickly in your opinion? |
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| 10.
Can Wall Street reform itself? |
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| Your Personal Information: | ||||
| First Name: | Last Name: | |||
| Professional Designation(s): | Home Phone: | |||
| Currently practicing as an accountant or auditor? : | Work Phone: | |||
| Fax Number: | ||||
| Lecture Evaluation - Please answer the following questions. One rating per box please: | ||||
| 1. Success in Meeting Your Objectives | 2. Completeness of Lecture Material | |||
| 3. Effectiveness of Presentation | 4. Timeliness of Content | |||
| 5. Did the delivery of the
lecture material go
smoothly? Yes: No: |
6. Was the level of the material about right for you? Yes: No: |
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| Action: | ||||
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