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3. Please answer number e & f What are the principal regulator(s) of: a. Credit unions...

3. Please answer number e & f

What are the principal regulator(s) of:

a. Credit unions

National Credit Union Administration regulates credit unions.

b. Hedge funds

Securities Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) regulate hedge funds

c. Insurance companies

Each state has a Department, Division or Office of insurance that regulates insurance companies in that state. There is no federal regulatory body for insurance companies

d. Commercial banks

Banks are primarily regulated by the Federal Reserve

e. Securities firms

f. Mutual funds

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Answer #1

e. Securities firms
Securities Exchange Commission (SEC)

f. Mutual funds
Securities Exchange Commission (SEC)

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Answer #2

e and f :


Regulator of securities firms and mutual funds is Stock Exchange Commoission (SEC).

answered by: Tulsiram Garg
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