To protect investors and consumers

To promote economic growth

To control inflation

To manage interest rates

Stocks

Bonds

Derivatives

Commodities

To set interest rates

To supervise banks and other financial institutions

To manage the money supply

All of the above

Stocks represent ownership in a company, while bonds are loans to a company.

Stocks pay dividends, while bonds pay interest.

Stocks are more risky than bonds.

All of the above

To transfer risk from one party to another

To speculate on the future price of an asset

To hedge against price fluctuations

All of the above

To assess the creditworthiness of borrowers

To provide investors with information about the risk of an investment

To help regulators identify systemic risks in the financial system

All of the above

To provide an independent assessment of a company's financial statements

To ensure that a company is complying with applicable laws and regulations

To identify and prevent fraud and errors in a company's financial records

All of the above

In a primary market, new securities are issued and sold for the first time, while in a secondary market, existing securities are traded between investors.

Primary markets are regulated by the government, while secondary markets are self-regulated.

Primary markets are typically more liquid than secondary markets.

None of the above

To provide investors with information about a new security offering

To comply with securities laws and regulations

To help investors make informed investment decisions

All of the above

To provide a platform for trading securities

To ensure fair and orderly trading

To protect investors from fraud and abuse

All of the above

To facilitate the settlement of trades

To reduce systemic risk in the financial system

To ensure the timely and accurate delivery of securities

All of the above

RICs are regulated by the Securities and Exchange Commission (SEC), while mutual funds are regulated by the Financial Industry Regulatory Authority (FINRA).

RICs are required to distribute all of their income to shareholders, while mutual funds can retain some of their income.

RICs are typically more diversified than mutual funds.

None of the above

To generate high returns for investors

To use sophisticated investment strategies

To hedge against risk

All of the above

To provide capital to private companies

To help private companies grow and expand

To prepare private companies for an initial public offering (IPO)

All of the above

To provide funding to early-stage companies

To help early-stage companies grow and develop

To prepare early-stage companies for an initial public offering (IPO)

All of the above