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    Financial System and the Economy Principles
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    Exam 12: Regulation of the Banking System and the Financial Services Industry
  5. Question
    Security Firms Are Regulated by Which of the Following
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Security Firms Are Regulated by Which of the Following

Question 39

Question 39

Multiple Choice

Security firms are regulated by which of the following?


A) the Securities and Exchange Commission (SEC)
B) the Fed
C) the National Association of Securities Dealers
D) the Department of the Treasury

Correct Answer:

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