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Diane Publishing Books
Securities Regulation: SEC Can Further Enhance Its Oversight Program of FINRA
A. Nicole Clowers (au)
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.
Southern World: Trade & Travel Routes
How to Spec Type
Air Combat: The New Face of War
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