SIE practice questioneasySEC - Market Regulation
Which federal agency is the primary regulator of the U.S. securities industry?
- ASecurities and Exchange Commission (SEC)✓ Correct answer
- BFederal Reserve
- CCommodity Futures Trading Commission (CFTC)
- DOffice of the Comptroller of the Currency (OCC)
Explanation
Why A — Securities and Exchange Commission (SEC)
The SEC oversees securities markets and protects investors. The Fed sets monetary policy, CFTC regulates futures/derivatives, and OCC supervises national banks.
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