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Questions and Answers
What is the primary objective of the Securities Regulation Code?
What is the primary objective of the Securities Regulation Code?
- To protect the interests of securities companies.
- To protect the investors and ensure fair, efficient, and transparent markets. (correct)
- To promote risky investments for individual firms.
- To ensure that the markets are unfair and opaque.
Which entity serves as the market operator for stocks?
Which entity serves as the market operator for stocks?
- Securities Clearing Corp of the Phil (SCCP)
- Philippine Depository Trust Corp (PDTC)
- Self-Regulatory Organization (SRO)
- Philippine Dealing and Exchange (PDEx) (correct)
What does the Securities and Exchange Commission (SEC) supervise over?
What does the Securities and Exchange Commission (SEC) supervise over?
- Self-Regulatory Organization (SRO)
- Individual Firms
- Investing Public
- All of the above (correct)
Which department of the Securities and Exchange Commission is responsible for corporate registration and monitoring?
Which department of the Securities and Exchange Commission is responsible for corporate registration and monitoring?
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Which institution is responsible for serving as a securities custodian?
Which institution is responsible for serving as a securities custodian?
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