SIE practice questioneasyTypes of SROs
Which of the following is NOT an SRO?
- AFINRA
- BMSRB
- CFDIC✓ Correct answer
- DNYSE
Explanation
Why C — FDIC
The FDIC is a government agency, not an SRO. The others are SROs.
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Related Regulatory Framework questions
- Which of the following statements about SROs is correct?
- Who creates the rules that SROs enforce on their members?
- Which disciplinary action is NOT typically performed by an SRO?
- If a registered representative violates an SRO rule, which entity is most likely to discipline them?
- Which organization regularly examines broker-dealers for compliance with SRO rules?
- Most broker-dealers in the United States are required to be members of which SRO?
- Who oversees SROs to ensure they are acting in the public's best interest?
- SROs are responsible for which of the following?
