SIE Exam Question 727: Answer and Explanation

Question: 727

Which of the following regulations governs the extension of credit by broker-dealers and controls the margin requirements for stock purchases?

• A. Regulation D
• B. Regulation S
• C. Regulation T
• D. Regulation U

Correct Answer: C

Explanation:

Regulation T governs the extension of credit by broker-dealers and controls the margin requirements for stock purchases.