Which of the following provides regulatory services for securities traded in over-the-counter markets?
A)SEC
B)NASD
C)NYSE
D)Both a and b
E)Both a and c

Question

Quizplus · Accepted Answer

The Securities and Exchange Commission (SEC) provides regulatory services for all securities traded in the United States, including those traded in over-the-counter markets. The National Association of Securities Dealers (NASD) also provides regulatory services for securities traded in over-the-counter markets. Therefore, options A and B are incorrect, while option C is incorrect because the New York Stock Exchange only provides regulatory services for securities traded on its exchange. The correct answer is D, which states that both the SEC and the NASD provide regulatory services for securities traded in over-the-counter markets.

Which of the Following Provides Regulatory Services for Securities Traded