The Securities Industry Is Self-Regulated by Which of the Following

question 2

Multiple Choice

The securities industry is self-regulated by which of the following?

• A)The Securities and Exchange Commission (SEC).
• B)The National Association of Securities Dealers (NASD).
• C)The Fed.
• D)The Securities Industry Protection Corporation (SIPC).

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Definitions:

Nobel Prize

An international recognition awarded annually in several categories such as Physics, Chemistry, Medicine, Literature, Peace, and Economic Sciences, for outstanding contributions in these fields.

Salivation

The secretion of saliva from the salivary glands in the mouth, which is often a response to the presence or thought of food, aiding in digestion.

Conditioned Response

A learned response to a previously neutral stimulus that has become conditioned through association.

Unconditioned Response

An automatic, natural response to a stimulus that occurs without any need for prior learning or conditioning.