SIE - Securities Industry Essentials Exam

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What SRO is the largest in the securities industry?

NYSE
A
FINRA
B
SEC
C
OCC
D

Explanations

FINRA is the largest SRO in the securities industry. NYSE is the largest SRO of all of the exchanges. SEC is a government agency; not an SRO. OCC is the Options Clearing Corporation - also an SRO.

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