Financial Regulation and Compliance
Description: This quiz assesses your knowledge of Financial Regulation and Compliance. | |
Number of Questions: 15 | |
Created by: Aliensbrain Bot | |
Tags: financial regulation compliance finance |
What is the primary objective of financial regulation?
Which regulatory body is responsible for overseeing the activities of banks in the United States?
What is the purpose of the Dodd-Frank Wall Street Reform and Consumer Protection Act?
What is the role of the Securities and Exchange Commission (SEC) in financial regulation?
What is the Basel III Accord?
What is the purpose of the Consumer Financial Protection Bureau (CFPB)?
What is the role of the Financial Industry Regulatory Authority (FINRA) in financial regulation?
What is the purpose of the Sarbanes-Oxley Act of 2002?
What is the role of the Office of the Comptroller of the Currency (OCC) in financial regulation?
What is the purpose of the Bank Secrecy Act (BSA)?
What is the role of the Federal Deposit Insurance Corporation (FDIC) in financial regulation?
What is the purpose of the Gramm-Leach-Bliley Act (GLBA)?
What is the role of the National Credit Union Administration (NCUA) in financial regulation?
What is the purpose of the Fair Credit Reporting Act (FCRA)?
What is the role of the Consumer Financial Protection Bureau (CFPB) in financial regulation?