Under the Securities Exchange Act of 1934, which of the following is TRUE regarding the jurisdiction of the SEC over a person who violates the rules of the Municipal Securities Rulemaking Board?

Under the Securities Exchange Act of 1934, which of the following is TRUE regarding the jurisdiction of the SEC over a person who violates the rules of the Municipal Securities Rulemaking Board?


A) The SEC has the authority to investigate such violations only if the person is a financial institution.
B) Only the MSRB has the authority to investigate violations of its rules.
C) The SEC has the authority to investigate such violations unless the person is a financial institution.
D) The SEC has the authority to investigate such violations even if the person is a financial institution.


Answer: C) The SEC has the authority to investigate such violations unless the person is a financial institution.


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