The government agency that oversees securities markets, including brokers and dealers, is which of the following?

Question

Quizplus · Accepted Answer

The SEC is the primary government agency responsible for regulating securities markets, including brokers and dealers. The Fed is primarily responsible for monetary policy and regulating banks, while the Department of Labor focuses on workplace-related issues. The National Association of Securities Dealers is a self-regulatory organization for firms operating in the securities industry.

The Government Agency That Oversees Securities Markets, Including Brokers and Dealers