Securities Industry Essentials Guías de estudio, Notas de estudios & Resúmenes
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Securities Industry Essentials Exam 2023 Solved 100% Correct
- Examen • 10 páginas • 2023
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Disponible en paquete
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Broker-Dealer that doesn't comply is subject to: - ANSWER--censure 
-limits on activities 
-suspension 
-revocation of reg 
-fine 
 
FINRA - ANSWER-regulates all matters related to investment banking, trading in the OTC market, trading in the NYSE listed securities, and the conduct of FINRA member firms and associated persons 
 
FINRA Purpose - ANSWER--promote investment banking and securities business 
-provide medium for communication among its members 
-adopt, admin, and enforce rules design...
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Securities Industry Essentials WITH QUESTIONS AND ANSWERS 2022 GRADED A+
- Examen • 10 páginas • 2022
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- 11,04 €
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Securities Industry Essentials WITH QUESTIONS AND 
ANSWERS 2022 GRADED A+ 
What is an SRO, list them. Correct Answer: Self Regulated Organization 
1. FINRA (Financial Industry Regulatory Authority) 
2. CBOE (Chicago Board Options Exchange) 
3. MSRB (Municipal Securities Rulemaking Board) 
Federal Reserve Board (FRB), what is its main function Correct Answer: Determines monetary policy 
. The FRB determines through its actions how much money is available for businesses and 
consumers to spend. 
S...
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