2.4 Regulators and Self-Regulatory Organizations

In this section

• Understand the SEC’s Role: Investor Protection and Compliance
  Explore the SEC's role in safeguarding investors and ensuring fair markets, with quizzes for FINRA Series 7 exam preparation and sample questions.
• Understanding FINRA's Role and the Series 7 Exam with Quizzes
  Explore FINRA's regulatory functions and the Series 7 exam process with quizzes and sample exam questions for effective FINRA Series 7 preparation.
• Understand MSRB Regulations and Take Series 7 Quizzes
  Explore MSRB roles in municipal securities, enforced by SEC and FINRA, with Series 7 quizzes and sample exam questions for thorough exam preparation.
• Explore Other Regulatory Bodies: A FINRA Series 7 Guide
  Understand the roles of the CFTC and state securities regulators in financial markets with FINRA Series 7 sample exam questions and quizzes.