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Which of the following industry organizations is the governing authority for the OTC market?

a. DTCC
b. FRB
c. MSRB
d. FINRA

User Matbtt
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1 Answer

7 votes

Final answer:

FINRA is the authority that governs the OTC market, enforcing rules and protecting investors in securities not listed on formal exchanges. The OTC market includes securities not listed on a formal exchange, and FINRA oversees the activities in this market to ensure market integrity and protect investors.

Step-by-step explanation:

The governing authority for the Over-the-Counter (OTC) market is the Financial Industry Regulatory Authority, commonly known as FINRA. FINRA is a self-regulatory organization that operates under the supervision of the Securities and Exchange Commission (SEC), and it is responsible for writing and enforcing rules governing registered brokers and broker-dealer firms in the United States. The OTC market includes securities not listed on a formal exchange, and FINRA oversees the activities in this market to ensure market integrity and protect investors.

User Psmay
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