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15.1Â Â The Regulation of Financial Markets in the United States 1) A major reason for regulating the financial sector is to facilitate __________ policy. A) monetary B) fiscal C) antitrust D) merger 2) The __________ is a regulator of financial markets? A) U.S. Treasury B) SEC C) FDIC D) NCUA 3) The __________ is a regulator of financial markets. A) Comptroller of the Currency B) Commodities Futures Trading Commission C) FDIC D) Federal Reserve 4) Which of the following is not a reason for regulation of U.S. financial markets? A) Protection of individual investors B) Disclosure of information about securities is the best way to safeguard investors C) Full disclosure broadens investor’s participation in the financial markets D) The operation of financial markets requires government regulation if they are to be efficient in channeling funds from savers to borrowers. 5) Must a corporation inform the SEC when it borrows from a commercial bank or through the private placements market? A) Only from the private placements market B) Only from the commercial bank C) From both D) From neither 6) Which of the following does NOT appear on a prospectus? A) The price of the securities being issued B) The salaries of the borrowing firm’s top executives C) Audited financial statements of the borrower D) An explanation of any unusual rights granted to stockholders 7) All issuers of publicly-traded securities must file an annual report on its financial condition with the SEC, called a __________ report. A) 1040A B) C311 C) 10K D) G-109 8) An example of an “insider trading” law is that A) no officer of a corporation is allowed to hold stock in that corporation. B) an officer of a corporation must report to the SEC any buying or selling of stock in that corporation. C) no dealer in domestic securities is allowed to handle foreign securities. D) no more than 25 percent of the outstanding shares of a corporation may be held by the executives of that corporation. 9) “Insider trading” laws are meant to prevent A) the executives of a corporation from holding a majority of its outstanding shares. B) buying or selling shares based on information not available to the public. C) foreign investors from gaining controlling interest in U.S. corporations. D) the issuing of bonds for the purpose of buying stock. 10) Margin requirements on stocks are set by A) the New York Stock Exchange. B) the National Association of Securities Dealers. C) the Federal Reserve System. D) the Securities Exchange Commission.

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