SIE Exam Question 392: Answer and Explanation

Question: 392

All states have a securities Administrator whose job it is to enforce the securities laws of their state. All Administrators are part of an organization known as:

  • A. FINRA
  • B. the SEC
  • C. the SROs
  • D. NASAA

Correct Answer: D

Explanation:

D: All State securities Administrators are part of the North American Securities Administrators Association (NASAA).

All content of site and practice tests © 2022 Jack.
Quick View

FINRA Practice Tests