The Federal Trade Commission (FTC)regulates the activities of securities brokers and advisors,and this regulation includes registering brokers and advisors and taking enforcement action against those who violate securities laws.

Question

Quizplus · Accepted Answer

The FTC is not the regulatory agency that oversees securities brokers and advisors. Instead, the Securities and Exchange Commission (SEC) has jurisdiction over these entities and is responsible for registering and enforcing securities laws.

The Federal Trade Commission (FTC)regulates the Activities of Securities Brokers