Examlex
Which of the following is a responsibility that distinguishes an investment center manager from a profit center manager?
Commissioners of the SEC
The heads of the U.S. Securities and Exchange Commission (SEC), responsible for enforcing federal securities laws, regulating the securities industry, the nation's stock and options exchanges, and other related functions.
U.S. Court of Appeals
A court within the federal judicial system of the United States that hears appeals from federal district courts.
No-action Letters
are statements issued by regulatory agencies indicating that the agency does not intend to take legal action against a specifically proposed activity.
Exempted Offerings
Securities offerings that are released from the registration requirements with the SEC, generally due to their limited nature.
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