Section 10.1
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Questions and Answers

The SEC has the power to do all of the following except

  • revoke a registration
  • arrest those in violation of the regulations (correct)
  • impose fines
  • limit a firm's activity

    • The SEC is the primary federal securities industry regulator in the United States. It was created by

  • the Securities Act of 1933
  • the Securities Exchange Act of 1934 (correct)
  • the Investment Advisers Act of 1940
  • the Uniform Securities Act

    • Financial activities and large cash transactions are reported to which of the following federal agencies?

  • SEC
  • ОСС
  • Federal Reserve
  • FinCEN (correct)

    • The FDIC insures customer assets held at

    <p>banks</p> Signup and view all the answers

    In order to register a broker-dealer firm to do business in a state, you would register with

    <p>the administrator</p> Signup and view all the answers

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