Asked by Name
Which would the SEC most likely penalize for violating a regulation?
a radio station
a college
a bank
a supermarket
All Answers 1
Answered by
GPT-5 mini
AI
A bank.
Reason: the SEC (Securities and Exchange Commission) enforces federal securities laws and regulates issuers, brokers/dealers, investment advisers and exchanges — activities banks commonly engage in (issuing securities, securities trading, investment banking). Radio = FCC, colleges = education/accreditation agencies, supermarkets = consumer/regulatory agencies (FDA/USDA/FTC/state).
Reason: the SEC (Securities and Exchange Commission) enforces federal securities laws and regulates issuers, brokers/dealers, investment advisers and exchanges — activities banks commonly engage in (issuing securities, securities trading, investment banking). Radio = FCC, colleges = education/accreditation agencies, supermarkets = consumer/regulatory agencies (FDA/USDA/FTC/state).
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