Regulatory Frameworks & Compliance Flashcards
7 cards from real Communication Skills practice questions. Tap to flip, then mark Knew It or Still Learning — missed cards come back until you master them.
Read the first 7 Regulatory Frameworks & Compliance flashcards as text
Under the Americans with Disabilities Act (ADA), which communication accommodation must employers provide to employees with hearing impairments during mandatory workplace meetings?
Answer: Qualified sign language interpreters or equivalent effective means
The ADA requires employers to provide qualified interpreters or other equally effective communication methods to ensure equal access for employees with hearing impairments.
Which federal law primarily governs privacy of employee communications made through employer-owned electronic systems?
Answer: The Electronic Communications Privacy Act (ECPA)
The ECPA regulates interception and disclosure of electronic communications, including employer monitoring of employee emails and messages on company systems.
A publicly traded company's CEO informally tells a friend about upcoming earnings before the public announcement. Which regulatory violation does this communication represent?
Answer: Insider trading under SEC Regulation FD
SEC Regulation FD (Fair Disclosure) prohibits selective disclosure of material nonpublic information by public company officials to certain individuals.
Under HIPAA's minimum necessary standard, how should a healthcare worker communicate a patient's medical information to a billing department?
Answer: Share only the information necessary for the billing purpose
HIPAA's minimum necessary standard requires covered entities to share only the amount of protected health information needed for a specific task or purpose.
Which FTC rule requires telemarketers to clearly disclose the seller's identity and the purpose of the call at the beginning of the communication?
Answer: The Telemarketing Sales Rule (TSR)
The FTC's Telemarketing Sales Rule requires telemarketers to promptly disclose who is calling and the purpose of the call at the outset of the conversation.
When a financial advisor sends a mass email to clients recommending a specific stock, which regulatory body's rules most directly govern the content and disclosures required?
Answer: The Financial Industry Regulatory Authority (FINRA)
FINRA regulates broker-dealers and their communications with the public, requiring fair, balanced, and not misleading content in investment-related communications.
Under Sarbanes-Oxley (SOX), what is a company required to do if an employee reports suspected financial fraud through official whistleblower channels?
Answer: Maintain the whistleblower's confidentiality and prohibit retaliation
SOX Section 806 protects employee whistleblowers from retaliation and requires companies to keep reports confidential while conducting investigations.