skater6663 skater6663

11-01-2024
Business

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Which of the following outlines the books and record-keeping requirements and provides resources, such as BrokerCheck, that help to protect investors?
1) Securities and Exchange Commission (SEC)
2) Financial Industry Regulatory Authority (FINRA)
3) National Association of Securities Dealers (NASD)
4) Commodity Futures Trading Commission (CFTC)

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