SIE Exam Question 606: Answer and Explanation

Question: 606

Congress has provided which of the following entities with the power to supervise self-regulatory organizations (SROs) as a matter of public interest?

  • A. FINRA
  • B. MSRB
  • C. NASD
  • D. SEC

Correct Answer: D

Explanation:

Congress has provided the SEC with the power to supervise self-regulatory organizations (SROs) as a matter of public interest.

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