Search
Navigation
Join our mailing list!
(Your shopping cart is empty)
Home
>
Diane Publishing Books
>
Securities Regulation: SEC Can Further Enhance Its Oversight Program of FINRA
Our Price:
$
20.00
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.
Related Products...
Lovers
Our Price:
$27.00
Add
Fourth Book of Sexual Questions & Answers
Our Price:
$10.00
Add
History of the New York Central System
Our Price:
$25.00
Add
American Short Story, 1945-1980: A Critical History
Our Price:
$13.00
Add
Assassin: From Lincoln to Gandhi
Our Price:
$15.00
Add
Share your knowledge of this product with other customers...
Be the first to write a review
Diane Publishing Co
PO Box 617
Darby, PA 19023-0617
1-800-782-3833
About Us
Become an Affiliate
Privacy Policy
Send Us Feedback
Company Info
|
Advertising
|
Product Index
|
Category Index
|
Help
|
Terms of Use
Copyright � 2004 Diane Publishing Company. All Rights Reserved.
Built with
Volusion