SEC Rules and Regulations Chapter 1 Review
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Questions and Answers

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?

  • 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?

  • 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?

    <p>Market and Securities Regulation Department (A)</p> Signup and view all the answers

    Which institution is responsible for serving as a securities custodian?

    <p>Capital Markets Integrity Corp (CMIC) (A)</p> Signup and view all the answers

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