5 Questions
What is the primary objective of the Securities Regulation Code?
To protect the investors and ensure fair, efficient, and transparent markets.
Which entity serves as the market operator for stocks?
Philippine Dealing and Exchange (PDEx)
What does the Securities and Exchange Commission (SEC) supervise over?
All of the above
Which department of the Securities and Exchange Commission is responsible for corporate registration and monitoring?
Market and Securities Regulation Department
Which institution is responsible for serving as a securities custodian?
Capital Markets Integrity Corp (CMIC)
Prepare for the SEC exam with a review of Chapter 1, focusing on selected SEC rules and regulations, the Securities and Investment instruments market, and the objectives of the Securities Regulation Code. Understand the responsibilities of the national government regulatory agency and its supervision over the corporate sector and capital market participants.
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