Which of the following is the enforcement agency that oversees a market's activities and the way securities are issued within that market?

Question

Quizplus · Accepted Answer

The Securities and Exchange Commission (SEC) is the primary enforcement agency that oversees the activities of markets and regulates the issuance of securities in those markets. FINRA is a self-regulatory organization that works in conjunction with the SEC. The Galleon group is a hedge fund that was involved in insider trading scandals. Prospectus is a legal document that companies must provide to potential investors before selling securities. The attorney general is a state or federal government official responsible for enforcing laws and prosecuting criminal cases. None of these entities have sole responsibility for overseeing a market's activities and the issuance of securities.

Which of the Following Is the Enforcement Agency That Oversees