SIE practice questionmediumSecurities Exchange Act of 1934 - Exchanges
Which of the following is primarily responsible for regulating and registering national securities exchanges?
- AMunicipal Securities Rulemaking Board (MSRB)
- BFINRA
- CFederal Reserve
- DSEC✓ Correct answer
Explanation
Why D — SEC
The SEC oversees national exchanges. FINRA regulates brokers, the Fed sets monetary policy, MSRB covers municipal securities.
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