SIE Exam Question 644: Answer and Explanation

Question: 644

____ Regulates brokerage firms.

  • A. Securities Act of 1933
  • B. Securities Exchange Act of 1934
  • C. Investment Company Act of 1940
  • D. Securities Investor Protection Act of 1970

Correct Answer: D

Explanation:

The Securities Investor Protection Act of 1970 regulates brokerage firms.

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