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Diane Publishing Books
Securities Regulation: Opportunities Exist to Improve SECäó»s Oversight of the Financial Industry RegulatoryAuthority
Angela N. Clowers (au)
The Securities Exchange Comm. (SEC) oversees the Financial Industry Regulatory Authority (FINRA), which is charged with regulatory oversight of all securities broker-dealers conducting business with the public in the U.S. In light of recent events in the financial markets, SEC and FINRA have faced questions about their oversight roles. The Dodd-Frank Wall Street Reform and Consumer Protection Act required an examination of SECäó»s oversight of national securities associations registered under section 15A of the Securities Exchange Act of 1934, a provision which applies only to FINRA. This report examines (1) how SEC has conducted oversight of FINRA, including FINRA rule proposals and the effectiveness of its rules; and (2) how SEC plans to enhance its oversight of FINRA. Table and figure. This is a print on demand report.
Years of Renewal
Sale Price: $12.00
Sherlock Holmes Victorian Cookbook: Favourite Recipes of the Great Detective & Dr. Watson
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