Regulations Flashcard

Regulations Flashcard

Assessment

Flashcard

Business

9th Grade

Practice Problem

Hard

Created by

Wayground Content

FREE Resource

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8 questions

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1.

FLASHCARD QUESTION

Front

What are the four tiers of regulation in the securities industry?

Back

Federal laws, state laws, self-regulatory organization rules, firm-specific policies

2.

FLASHCARD QUESTION

Front

What is the primary function of the Federal Reserve Board (FRB)?

Back

To control the nation’s monetary policy

3.

FLASHCARD QUESTION

Front

What is the current FDIC insurance coverage limit per depositor?

Back

$250,000

4.

FLASHCARD QUESTION

Front

What are the state laws that require registration of securities before selling them called?

Back

Blue-sky laws

5.

FLASHCARD QUESTION

Front

What is the focus of the North American Securities Administrators Association (NASAA)?

Back

Protecting investors from fraud

6.

FLASHCARD QUESTION

Front

What document must firms create to supervise their personnel?

Back

Written Supervisory Procedures (WSP)

7.

FLASHCARD QUESTION

Front

What does the primary market refer to?

Back

Issuance of new securities

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