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6. Examples of Self-Regulatory Organizations (SROs) overseen by the SEC DO NOT include -- a. The Financial Stability Oversight Council (FSOC) b. The Financial Industry

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6. Examples of Self-Regulatory Organizations (SROs) overseen by the SEC DO NOT include -- a. The Financial Stability Oversight Council (FSOC) b. The Financial Industry Regulatory Authority (FINRA) c. The Municipal Securities Rulemaking Board (MSRB) d. The Nasdaq Stock Market (Nasdaq) 24. A private law suit for damages alleging a false or misleading statement or omission in a prospectus delivered in connection with a public offering of securities may NOT-- a. Be brought in State court, only Federal court b. Be brought against the issuer of the securities under Section 12(a)(2) of c. Be brought unless the buyer actually knew of the false statement d. Be brought more than 3 years after the plaintiffs purchase of the securities the Securities Act of 1933 or omission at the time he bought the securities

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