Series 79 practice questioneasySEC Enforcement Actions
Which SEC enforcement remedy can specifically prevent a person from serving as an officer or director of a public company?
- AOfficer or director bar✓ Correct answer
- BDisgorgement of profits
- CCivil monetary penalty
- DTemporary restraining order
Explanation
Why A — Officer or director bar
An officer or director bar is used to prohibit individuals from holding such positions due to misconduct. Other remedies, like disgorgement or penalties, do not impose this specific restriction.
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