2. A large-volume transaction for an institutional investor has occurred on an alternative trading system or network. Entered anonymously, the general public will see no information regarding the volume, price, or who the institutional investor was. This transaction scenario is generally referred to as having occurred A. on a U.S. exchange B. in a dark pool C. in the over-the-counter market D. in the third market 3. The SEC regulates the trading of all of the following except A. the New York Stock Exchange B. the Chicago Board of Options Exchange C. the London Stock Exchange D. the over-the-counter market When a broker-dealer maintains an inventory in a particular stock and trades that stock in the OTC market, it is acting as A. an agent B. a market maker C. a broker D. an underwriter 5. All of the following are true for designated market makers except A. they are members of an exchange B. they are charged with maintaining a fair and orderly market C. they maintain an inventory of the assigned stock D. they guarantee the customer will get a profitable trade

2. A large-volume transaction for an institutional investor has occurred on an alternative trading system or network. Entered anonymously, the general public will see no information regarding the volume, price, or who the institutional investor was. This transaction scenario is generally referred to as having occurred A. on a U.S. exchange B. in a dark pool C. in the over-the-counter market D. in the third market 3. The SEC regulates the trading of all of the following except A. the New York Stock Exchange B. the Chicago Board of Options Exchange C. the London Stock Exchange D. the over-the-counter market 4. When a broker-dealer maintains an inventory in a particular stock and trades that stock in the OTC market, it is acting as A. an agent B. a market maker C. a broker D. an underwriter 5. All of the following are true for designated market makers except A they are riembers of an exchange B. they are charged with maintaining a faif and orderly market C. they maintain an inventory of the assigned stosh D. they guarantec the customer will get a profitable trade