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yewei1989 · 2020年09月02日

问一道题:NO.PZ201512020800000602 第2小题 [ CFA II ]

* 问题详情,请 查看题干

问题如下:

2. The Financial Industry Regulatory Authority, referred to in Statement 2, is best classified as a:

选项:

A.

legislative body.

B.

government agency.

C.

self-regulatory organization.

解释:

C is correct.

FINRA, the Financial Industry Regulatory Authority, is a self-regulatory organization (SRO) and an independent regulator. The reading states that it describes itself as “the largest independent regulator for all securities firms doing business in the United States. Our chief role is to protect investors by maintaining the fairness of the US capital markets.” FINRA oversees over 4,000 brokerage firms, 160,000 branch offices and 629,000 registered securities representatives. FINRA has, as noted by the reading, “a degree of official sanction but is not a government agency per se.” FINRA is referred to specifically in the reading as an SRO.

考点:监管主体

解析:self-regulatory organization 是指府授予管辖权的机构但并非由政府资助拥有制定实施条令权力并拥有监管权例如FINRA ,它是美国证券业的独立监管者,监督资本市场。FIFRA监管着4000多家券商、160000个分公司和629000名注册证券代表。FINRA具有某种程度的官方制裁,但本身不是政府机构。

选项A是什么意思,有哪些典型的代表?
1 个答案

丹丹_品职答疑助手 · 2020年09月03日

嗨,努力学习的PZer你好:


同学你好,legislative body是执法机关,比如法院


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虽然现在很辛苦,但努力过的感觉真的很好,加油!