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Financial Planner

Category - Professional Conduct and Regulation

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What financial regulatory agency oversees firms that offer securities to the public?

Commodity Futures Trading Commission
Office of Thrift Supervision
Financial Industry Regulatory Authority
Office of the Comptroller of the Currency

Explanation

Answer: C - The Financial Industry Regulatory Authority, FINRA, has several responsibilities. This organization oversees all firms in the business of providing securities to the public, trains financial services professionals, licenses and tests agents, and oversees mediation for disputes between brokers and clients.

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Financial Planner

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Financial Planner

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