Khung pháp lýCâu 389 / 398
Which of the following is generally NOT within FINRA's direct regulatory jurisdiction?
a.The conduct of a broker-dealer's registered representatives
b.Sales practices of member firms
c.Advertising and communications with the public by members
d.The rulemaking authority over the U.S. futures markets
Giải thích
FINRA regulates broker-dealers and their associated persons, including sales practices and communications with the public. The U.S. futures markets are regulated by the CFTC and the National Futures Association, not FINRA. Understanding which regulator governs which market is a core SIE concept.
Trích dẫn luật: FINRA RulesLuyện miễn phí toàn bộ 398 câu hỏi — không cần đăng ký.
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