Nasdaq CEO on SEC Suing Coinbase

The video discusses illegal trading in regulated securities and the role of NASDAQ and the SEC in handling such cases. It explains the process for a company to go public, including the submission of information to the SEC and the evaluation based on listing and governance standards. The video also covers the importance of disclosing risk factors and the collaborative relationship between NASDAQ, FINRA, and the SEC.

What is the role of NASDAQ when a company is involved in illegal trading of regulated securities?

• To collaborate with the SEC for further action

• To immediately delist the company

• To ignore the issue

• To impose fines on the company

What is the first step a company must take when deciding to go public?

• Start trading on NASDAQ

• Announce it to the public

• Hire a new board of directors

• Submit information to the SEC

Which of the following is evaluated by exchanges when a company goes public?

• The company's customer reviews

• The company's employee satisfaction

• The company's listing and governance standards

• The company's marketing strategy

Who is responsible for evaluating changes in a company's risk factors?

• NASDAQ

• The SEC

• The company's CEO

• The company's shareholders

How does NASDAQ handle changes in risk factors for listed companies?

• By independently evaluating them

• By working with FINRA and the SEC

• By ignoring them

• By delisting the company