Regulators & Market Structure flashcards

30 cards on regulators & market structure for the SIE exam. Short answers, one fact per card, and a line under each explaining why. Here is what the prompts look like:

• Which federal agency has final authority over the United States securities markets?Answer inside
• The Securities Act of 1933 regulates which market?Answer inside
• The Securities Exchange Act of 1934 regulates which market?Answer inside
• Which self-regulatory organization writes conduct rules for broker-dealers?Answer inside
• Rules for municipal securities dealers are written by the ＿＿＿Answer inside