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Securities Regulation: SEC Can Further Enhance Its Oversight Program of FINRA
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 FINRAs operations and programs. This report (1) assesses SECs 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 SECs oversight of FINRA. Figures. This is a print on demand report.

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