Securities and Exchange Commission

SEC is called

• Civil Works Administration

• Securities and Exchange commission

• Social Security Administration

• Home Owners Loan Corporations

What is the primary function of the Securities and Exchange Commission (SEC)?

• To regulate the stock market

• To manage national parks

• To oversee public health

• To control immigration policies

In which year was the Securities and Exchange Commission (SEC) established?

• 1929

• 1934

• 1945

• 1950

Which of the following acts led to the creation of the SEC?

• The Securities Act of 1933

• The Banking Act of 1933

• The Social Security Act of 1935

• The Federal Reserve Act of 1913

Who was the first chairman of the Securities and Exchange Commission (SEC)?

• Joseph P. Kennedy

• Franklin D. Roosevelt

• J. Edgar Hoover

• Harry S. Truman

Which of the following is NOT a responsibility of the SEC?

• Enforcing securities laws

• Regulating the stock market

• Issuing currency

• Protecting investors

The SEC is an independent agency of which government?

• United States

• United Kingdom

• Canada

• Australia

Which of the following is a major goal of the SEC?

• To ensure fair and efficient markets

• To control inflation

• To manage the national debt

• To regulate international trade

What does the SEC require companies to file annually?

• 10-K report

• W-2 form

• 1040 tax return

• 1099 form

Which division of the SEC is responsible for overseeing corporate disclosure of important information to the investing public?

• Division of Corporation Finance

• Division of Trading and Markets

• Division of Investment Management

• Division of Enforcement