Thị trường vốnCâu 328 / 398
State securities laws designed to protect investors from fraudulent offerings within a state are commonly known as:
a.Blue-chip laws
b.Blue-sky laws
c.Green-shoe laws
d.Red-herring laws
Giải thích
Blue-sky laws are state-level securities regulations that require registration of certain offerings and the licensing of securities professionals within each state. The Uniform Securities Act serves as a model for many states' blue-sky laws, complementing federal regulation.
Luyện miễn phí toàn bộ 398 câu hỏi — không cần đăng ký.
Câu hỏi liên quan cùng chủ đề
- A brokerage firm becomes insolvent, and customer securities are missing from their accounts. Which organization is designed to protect these customers up to specified limits?
- Which of the following BEST describes what SIPC does NOT cover?
- Which federal agency insures deposits at member commercial banks up to specified limits?
- Which body is responsible for setting U.S. monetary policy, including influencing interest rates and the money supply?
- Which of the following is a tool of the Federal Reserve's monetary policy?
- If the Federal Reserve wants to stimulate a slowing economy, which action would it most likely take?
Cập nhật gần nhất: · quy trình kiểm tra
Đội Ngũ Biên Tập PrepPass · Đối chiếu với FINRA Securities Industry Essentials (SIE) Exam · Quy trình kiểm tra