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dejiazheng · 2024年07月28日

由各企业出资成立为什么不属于SRO

* 问题详情,请 查看题干

NO.PZ202208160100000603

问题如下:

The Tumultuan Commerce Board (TCB) is most likely a:

选项:

A.government agency. B.independent regulator. C.self-regulating organization (SRO).

解释:

Solution

B is correct. The TCB is given its power to enforce regulations by government statute, yet it is not funded by the government, making it an independent regulator.

A is incorrect. The TCB is empowered by government statute but is not funded by the government as would be the case for a government agency.

C is incorrect. Although the SCA has the characteristics of an industry-specific SRO, the TCB is not an SRO because of the variety of industries and range of fees involved and its power to enforce regulations.

B正确。TCB被赋予执行政府法规的权力,但它不是由政府资助的,这使它成为一个独立的监管机构。

A是不正确的。TCB由政府法规授权,但不像政府机构那样由政府资助。

C是不正确的。尽管SCA具有特定行业的SRO的特征,但由于涉及的行业和费用范围的多样性以及其执行法规的权力,TCB并不是SRO。

The TCB is funded by fee assessments that vary by industry说明是由各企业出资成立

1 个答案

笛子_品职助教 · 2024年07月28日

嗨,努力学习的PZer你好:


由各企业出资成立为什么不属于SRO

The TCB is funded by fee assessments that vary by industry说明是由各企业出资成立


同学看一下,基础讲义截图中,画蓝色线部分。



SRO,与企业出资无关。

是否是SOR,取决于,这个组织,是否是行业自律组织。


TCB为什么只是indedpent regulator,而不是SROs。

原因在于:题目并没有提到,TCB属于 industry self regulatory bodies(行业自律组织)。

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