Securities Regulation: SEC Can Further Enhance Its Oversight Program of FINRA

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By A. Nicole Clowers (au)
Year: 2015
Pages: 44
Binding Paperback
ISBN 978-1-4578-6841-2

Product Code: 1457868415

Description

The securities industry is generally regulated by a combination of federal and industry regulation and oversight. The Financial Industry Regulatory Authority (FINRA), a self-regulatory organization, is responsible for regulating securities firms doing business with the public in the U.S. The Securities and Exchange Commission (SEC) oversees FINRAäó»s operations and programs. This report (1) assesses SECäó»s implementation of a risk-based framework for overseeing FINRA; (2) reviews SEC oversight activities of FINRA operations; and (3) assesses recent inspections of areas listed in Section 964 of the Dodd-Frank Act, which mandates a triennial review on aspects of SECäó»s oversight of FINRA. Figures. This is a print on demand report.

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