SIE - Securities Industry Essentials Exam

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Which of the following government agencies regulates the securities markets in order to protect investors and maintain fair and orderly markets?

MSRB
A
FRB
B
FINRA
C
SEC
D

Explanations

The SEC is the government agency that fulfills these roles. MSRB is the Municipal Securities Rulemaking Board, FRB is the Federal Reserve Board. FINRA is an SRO that enforces rules for members like Broker-dealers and registered reps.

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