开发者:上海品职教育科技有限公司 隐私政策详情

应用版本:4.2.11(IOS)|3.2.5(安卓)APP下载

marking134 · 2021年05月27日

有不独立的SRO存在吗,这样不是政府出资运作,是谁在出资运作

NO.PZ2018091706000049

问题如下:

Recently Analyst Bob is studying regulatory environment in a country. He finds that

1. "Juydee" is an independent regulator but not a SRO.

2. "Wedidey" is a SRO but not an independent regulator.

Bob conclude that a new rule can be implemented by "Juydee" ; while "Wedidey" can use government funding to operate.

Bob’s conclusion is

选项:

A.

only correct about "Juydee".

B.

only correct about "Wedidey".

C.

Both correct.

解释:

A is correct.

考点:Classification of Regulations and Regulators

解析:因为"Juydee"是独立的regulator,因此它是获得政府机构授权的,所以有资格制定并实施准则。但是"Wedidey"是SRO,所以它不能依赖于政府的出资来运作。所以本题A选项正确。

有不独立的SRO存在吗,这样不是政府出资运作,是谁在出资运作
1 个答案

丹丹_品职答疑助手 · 2021年05月28日

嗨,爱思考的PZer你好:


同学你好,sro都是靠协会内部的钱运营的,不靠政府的钱,都是独立的

----------------------------------------------
虽然现在很辛苦,但努力过的感觉真的很好,加油!

  • 1

    回答
  • 0

    关注
  • 460

    浏览
相关问题

NO.PZ2018091706000049 问题如下 Recently Analyst Bob is stuing regulatory environment in a country. He fin that1. \"Juye\" is inpennt regulator but not a SRO. 2. \"Wey\" is a SRO but not inpennt regulator.Bob conclu tha new rule cimplemente\"Juye\" ; while \"Wey\" cuse government funng to operate.Bob’s conclusion is A.only correabout \"Juye\". B.only correabout \"Wey\". C.Both correct. A is correct.考点Classification of Regulations anRegulators解析因为\"Juye\"是独立的regulator,因此它是获得政府机构授权的,所以有资格制定并实施准则。但是\"Wey\"是SRO,所以它不能依赖于政府的出资来运作。所以本题A正确。 老师您好,我想请问是否只有 Regulations 三家机构可以制定准则?(Statutes, Ainistrative regulations anJucLaw)。如果不仅仅这三家,那他们制定出来的准则,和题目中的相比有什么差异?

2024-07-25 22:41 1 · 回答

NO.PZ2018091706000049问题如下 Recently Analyst Bob is stuing regulatory environment in a country. He fin that1. \"Juye\" is inpennt regulator but not a SRO. 2. \"Wey\" is a SRO but not inpennt regulator.Bob conclu tha new rule cimplemente\"Juye\" ; while \"Wey\" cuse government funng to operate.Bob’s conclusion is A.only correabout \"Juye\".B.only correabout \"Wey\".C.Both correct. A is correct.考点Classification of Regulations anRegulators解析因为\"Juye\"是独立的regulator,因此它是获得政府机构授权的,所以有资格制定并实施准则。但是\"Wey\"是SRO,所以它不能依赖于政府的出资来运作。所以本题A正确。老师好,请问什么样的机构是 SRO 但不是 独立监管机构,请老师举个例子,谢谢🙏

2024-02-16 20:52 5 · 回答

NO.PZ2018091706000049问题如下Recently Analyst Bob is stuing regulatory environment in a country. He fin that1. \"Juye\" is inpennt regulator but not a SRO. 2. \"Wey\" is a SRO but not inpennt regulator.Bob conclu tha new rule cimplemente\"Juye\" ; while \"Wey\" cuse government funng to operate.Bob’s conclusion is A.only correabout \"Juye\".B.only correabout \"Wey\".C.Both correct. A is correct.考点Classification of Regulations anRegulators解析因为\"Juye\"是独立的regulator,因此它是获得政府机构授权的,所以有资格制定并实施准则。但是\"Wey\"是SRO,所以它不能依赖于政府的出资来运作。所以本题A正确。被政府授权的sro相当于是inpennt regulatory如果这两者都是一定要资金独立的,不来自于政府,那不是相当于所有inpennt都是sro,就有包含和被包含关系了

2023-08-15 22:45 2 · 回答

NO.PZ2018091706000049 问题如下 Recently Analyst Bob is stuing regulatory environment in a country. He fin that1. \"Juye\" is inpennt regulator but not a SRO. 2. \"Wey\" is a SRO but not inpennt regulator.Bob conclu tha new rule cimplemente\"Juye\" ; while \"Wey\" cuse government funng to operate.Bob’s conclusion is A.only correabout \"Juye\". B.only correabout \"Wey\". C.Both correct. A is correct.考点Classification of Regulations anRegulators解析因为\"Juye\"是独立的regulator,因此它是获得政府机构授权的,所以有资格制定并实施准则。但是\"Wey\"是SRO,所以它不能依赖于政府的出资来运作。所以本题A正确。 老师,还是有点理不清inpennt regulator,SRO,non-SRO的关系,您看我下述理解对吗?1、inpennt regulator是独立监管者,由政府授权,不受政府资助。2、inpennt regulator按照是否自发可以分为SRO和non-SRO,因此SRO和non-SRO都属于inpennt regulator。(请问这么分类是否正确,不正确的话,他们的关系又是什么呢)3、SRO是行业自发,由政府授权,不受政府资助。(如FINRA)4、non-SRO非行业自发,由政府授权,不受政府资助。(如PCAOB)5、有没有一些inpennt regulator既不属于SRO又不属于non-SRO呢?

2023-07-14 17:57 3 · 回答

NO.PZ2018091706000049问题如下Recently Analyst Bob is stuing regulatory environment in a country. He fin that1. \"Juye\" is inpennt regulator but not a SRO. 2. \"Wey\" is a SRO but not inpennt regulator.Bob conclu tha new rule cimplemente\"Juye\" ; while \"Wey\" cuse government funng to operate.Bob’s conclusion is A.only correabout \"Juye\".B.only correabout \"Wey\".C.Both correct. A is correct.考点Classification of Regulations anRegulators解析因为\"Juye\"是独立的regulator,因此它是获得政府机构授权的,所以有资格制定并实施准则。但是\"Wey\"是SRO,所以它不能依赖于政府的出资来运作。所以本题A正确。答案解析里说inpennt regulator可以制定并实施rule,另一个问答的解答里说in re和sro都不能制定rule,请问是能制定还是不能制定呢?

2022-10-05 07:52 1 · 回答