LAW531 Regulatory Compliance and Protection of Investors and Consumers Paper Part I – Federal Agency Research and Review Assignment Content Research the

LAW531 Regulatory Compliance and Protection of Investors and Consumers Paper Part I – Federal Agency Research and Review

Assignment Content

Research the following four federal agencies:

o U.S. Securities and Exchange Commission (SEC)

o U.S. Environmental Protection Agency (U.S. EPA)

o Occupational Safety and Health Administration (OSHA)

o U.S. Consumer Product Safety Commission (CPSC)

Provide one real world example of an entity that each agency regulates.

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Part II – Regulatory Compliance and Protection of Investors and Consumers

Assignment Content

Resources: Four agencies: U.S. Securities and Exchange Commission (SEC), U.S. Environmental Protection Agency (U.S. EPA), Occupational Safety and Health Administration (OSHA), and U.S. Consumer Product Safety Commission (CPSC)

Scenario: Your solar panel manufacturing and installation company, Solar Co. Inc., is in the process of “going public,” has underwritten its Initial Public Offering (IPO), and filed its registration statement with the U.S. Securities and Exchange Commission. Your current executive team has asked you to create a plan ensuring compliance with a variety of regulations that will apply to Solar Co. as the company goes public and continues to expand.

Write a discussion in no more than 175 words about each of the four federal agencies provided above including the following:

o Explain the role and function of the agency.

o Identify at least two significant regulations enforced by each agency relevant to Solar Co.’s business (totaling eight regulations).

o Provide recommendations for Solar Co. to ensure compliance with each of the regulations including specific action items to be taken by employees and management. Part I – Federal Agency Research and Review
Assignment Content
1.
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Research the following four federal agencies:
U.S. Securities and Exchange Commission (SEC)
U.S. Environmental Protection Agency (U.S. EPA)
Occupational Safety and Health Administration (OSHA)
U.S. Consumer Product Safety Commission (CPSC)
Provide one real world example of an entity that each agency regulates.
Part II – Regulatory Compliance and Protection of Investors and Consumers
Assignment Content
1.
Resources: Four agencies: U.S. Securities and Exchange Commission (SEC), U.S.
Environmental Protection Agency (U.S. EPA), Occupational Safety and Health Administration
(OSHA), and U.S. Consumer Product Safety Commission (CPSC)
Scenario: Your solar panel manufacturing and installation company, Solar Co. Inc., is in the
process of “going public,” has underwritten its Initial Public Offering (IPO), and filed its
registration statement with the U.S. Securities and Exchange Commission. Your current
executive team has asked you to create a plan ensuring compliance with a variety of regulations
that will apply to Solar Co. as the company goes public and continues to expand.
o
o
o
Write a discussion in no more than 175 words about each of the four federal agencies provided
above including the following:
Explain the role and function of the agency.
Identify at least two significant regulations enforced by each agency relevant to Solar Co.’s
business (totaling eight regulations).
Provide recommendations for Solar Co. to ensure compliance with each of the regulations
including specific action items to be taken by employees and management.

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