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Questions and Answers
The SEC has the power to do all of the following except
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 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?
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
The FDIC insures customer assets held at
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In order to register a broker-dealer firm to do business in a state, you would register with
In order to register a broker-dealer firm to do business in a state, you would register with
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