1) Summarize one of either the Dodd-Frank Act or the Sarbanes Oxley Act (not both)

1) Summarize one of either the Dodd-Frank Act or the Sarbanes Oxley Act (not both). Is there an adequate amount of regulation/too much/not enough based on the law you selected? Why? Does it help prevent similar problems from reoccurring in the future? Be specific and state the reasons for your answers.

2) Explain the concept of fiduciary duty, specifically as it relates to a financial advisor. Do all advisors have such a duty? Explain the DOL fiduciary rule related to employee retirement accounts, and specifically where it now stands. Be specific and state the reasons for your answers.

What is the ethical debate surrounding insider trading in securities? Discuss both sides of the issue, and take a position on whether it should be legal or illegal. Be specific and state the reasons for your answers.