Giao dịch, Tài khoản & Hành vi cấmCâu 271 / 398
Broker-dealers are required to keep certain business records for specified minimum periods. What is the main regulatory reason for these recordkeeping rules?
a.To allow regulators to reconstruct activity and supervise for compliance and investor protection
b.To help firms reduce their tax bills
c.To let customers avoid paying commissions
d.To replace the need for customer confirmations
Giải thích
SEC rules (such as Rules 17a-3 and 17a-4) require firms to create and preserve books and records for set periods so regulators can examine and reconstruct the firm's activities. This supports supervision, audits, and investor protection.
Trích dẫn luật: Securities Exchange Act of 1934Luyện miễn phí toàn bộ 398 câu hỏi — không cần đăng ký.
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