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Are You SEC Savvy?

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Questions and Answers

What is the primary objective of the Securities and Exchange Commission (SEC)?

To approve the amount of securities to be sold

To determine the price and time companies’ securities are to be sold

To promote an orderly and active capital market (correct)

To register all securities dealers, investment advisers and market places

What was the SEC formerly called?

Capital Securities Commission (CSC)

Capital Regulatory Authority (CRA)

Capital Market Commission (CMC)

Capital Issues Commission (CIC) (correct)

What is one of the major functions of the SEC?

To determine the price and time companies’ securities are to be sold

To promote professionalism in the securities business (correct)

To approve the amount of securities to be sold

To register all securities dealers, investment advisers and market places

Are You SEC Savvy?

Choose a study mode

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Questions and Answers

What is the primary objective of the Securities and Exchange Commission (SEC)?

What was the SEC formerly called?

What is one of the major functions of the SEC?

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