Khung pháp lýCâu 367 / 398
Which self-regulatory organization has primary jurisdiction over rules governing the municipal securities market, including the conduct of municipal securities dealers?
a.FINRA
b.The Municipal Securities Rulemaking Board (MSRB)
c.The Chicago Board Options Exchange (CBOE)
d.The SEC
Giải thích
The MSRB writes rules for the municipal securities market and for dealers and advisors in that market. However, the MSRB does not conduct examinations or enforcement itself; FINRA and bank regulators enforce MSRB rules for the firms they oversee.
Trích dẫn luật: FINRA RulesLuyện miễn phí toàn bộ 398 câu hỏi — không cần đăng ký.
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