Securities Regulation: Opportunities Exist to Improve SECäó»s Oversight of the Financial Industry RegulatoryAuthority

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By Angela N. Clowers (au)
Year: 2012
Pages: 39
Binding Paperback
ISBN 978-1-4578-3388-5

Product Code: 1457833883

Description

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.

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