Tentamen (uitwerkingen)
SIE Exam: Regulatory Framework & Industry Rules Questions and Answers
- Vak
- Instelling
Who does the SEC regulate? - ANSWER-FINRA, MSRB, and other SROs The SEC is not a SRO Do the SEC and SROs have criminal authority? - ANSWER-No, they cannot put anyone in jail Does the MSRB regulate issuers of municipal securities? - ANSWER-No, they only regular securities firms and professi...
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