The International Organization of Securities Commissions (IOSCO)
is an international oversight body that is responsible for issuing
and enforcing regulatory standards that govern ALL international
securities markets.
A. True
B. False - //B. False
Which of the following is NOT a purpose of securities regulation?
A. To provide protections for investors
B. To restrict market competition
C. To discourage behavior that might harm the market
D. To reduce the prevalence of financial crime - //B. To restrict
market competition
The presence of securities regulation tends to DECREASE
investors' confidence in the market.
A. True
B. False - //B. False
Generally, for a contract, transaction, or scheme to qualify as an
investment contract, four elements must be met. Which of the
following is one of those four elements?
A. There is an investment of money or another asset
, B. The investment is in a common enterprise
C. The investment was made with expectations of making a profit
D. All of the above - //D. All of the above
Which of the following is an example of insider trading?
A. A bank manager tells a customer that the interest rates for
thirty-year mortgages have reached an all-time low
B. An employee sells shares of their company's stock because
they know that the company is going to publicly announce that it
is filing for bankruptcy
C. An individual sells their shares in a company after reading a
news article about an explosion at the company's factory
D. An individual buys a company's shares because the company
operates in an industry that is growing rapidly - //B. An employee
sells shares of their company's stock because they know that the
company is going to publicly announce that it is filing for
bankruptcy
In some jurisdictions, self-regulatory organizations (SROs) play an
important role in the resolution of disputes arising from securities
transactions.
A. True
B. False - //A. True
The International Council of Securities Associations (ICSA) is
recognized as the international standard-setter for securities
markets.
A. True
B. False - //B. False
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