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Open Daily: 10am - 10pm | Alley-side Pickup: 10am - 7pm
3038 Hennepin Ave Minneapolis, MN
612-822-4611
Security Regulation: Opportunities Exist to Improve SEC's Oversight of the Financial Industry Regulatory Authority

Security Regulation: Opportunities Exist to Improve SEC's Oversight of the Financial Industry Regulatory Authority

Paperback

General Reference

ISBN10: 1492104701
ISBN13: 9781492104704
Publisher: Createspace
Published: Aug 12 2013
Pages: 40
Weight: 0.26
Height: 0.08 Width: 8.50 Depth: 11.02
Language: English
Congress established SEC in 1934 to enforce the Securities Act of 1933 and the Exchange Act. SEC's mission is to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation by overseeing key participants in the securities markets, including SROs, securities broker-dealers, investment advisers, and mutual funds.

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General Reference