Regulatory Compliance and Protection of Investors and Consumers

Assignment Content

  1. Resources
    • 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)

    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 listed above in which you:

    • 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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