SIE practice questionmediumSecurities Exchange Act: Reporting
Which entity is responsible for ongoing public company reporting, such as filing 10-Ks and 10-Qs?
- AFINRA
- BMSRB
- CFederal Reserve
- DSEC✓ Correct answer
Explanation
Why D — SEC
Public companies file periodic financial reports with the SEC per the Exchange Act of 1934. MSRB regulates municipal market, the Fed handles monetary policy, and FINRA focuses on broker-dealers.
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