Thị trường vốnCâu 323 / 398
Which regulatory body is the primary self-regulatory organization (SRO) that oversees broker-dealers and their registered representatives in the United States?
a.FINRA
b.The Federal Reserve Board
c.The FDIC
d.The MSRB, for all securities
Giải thích
FINRA, the Financial Industry Regulatory Authority, is the SRO that writes and enforces rules for broker-dealers and their associated persons, subject to SEC oversight. It administers licensing exams, examines firms, and disciplines industry members.
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