Canadian Securities Course (CSC) Practice Exam · Question
Which of the following is the primary self-regulatory organization (SRO) for investment dealers and the marketplace in Canada?
CIRO is the new SRO that emerged from the merger of IIROC and MFDA, responsible for overseeing investment dealers and the marketplace.
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Question: Which of the following is the primary self-regulatory organization (SRO) for investment dealers and the marketplace in Canada?
Answer options: ✅ Canadian Investment Regulatory Organization (CIRO)
- Financial Consumer Agency of Canada (FCAC)
- Office of the Superintendent of Financial Institutions (OSFI)
- Bank of Canada
Correct answer: Canadian Investment Regulatory Organization (CIRO)
Explanation: CIRO is the new SRO that emerged from the merger of IIROC and MFDA, responsible for overseeing investment dealers and the marketplace.
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