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Which of the following is(are) among the responsibilities of FINRA? (1) Educating investors. (2) Fostering market...

Which of the following is(are) among the responsibilities of FINRA? (1) Educating investors. (2) Fostering market transparency. (3) Writing and enforcing rules governing the activities of all registered broker-dealer firms and registered brokers in the U.S. (4) Writing and enforcing rules governing the activities of all registered investment advisors.

a. 1 only.

b. 3 and 4.

c. 1, 2, and 3.

d. 1, 2, 3, and 4.
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Answer #1

The correct answer is Option C

The FINRA refers to financial industry regulatory authority which is a non profit organisation and has an independent identity. the main responsibilities of FINRA is to regulate the equity and debt market thus fostering the market transparency and it issues various guidelines to prevent fraud and misleading information thus encouraging to educate the investors.

The FINRA also govern and regulate all the activities of the broker and broker dealer firm.

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