Security Regulation: Opportunities Exist to Improve SEC's Oversight of the Financial Industry Regulatory Authority

Security Regulation: Opportunities Exist to Improve SEC's Oversight of the Financial Industry Regulatory Authority

by US Government Accountability Office
     
 

Congress established SEC in 1934 to enforce the Securities Act of 1933 and the Exchange Act. SEC's mission is to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation by overseeing key participants in the securities markets, including SROs, securities broker-dealers, investment advisers, and mutual funds.  See more details below

Overview

Congress established SEC in 1934 to enforce the Securities Act of 1933 and the Exchange Act. SEC's mission is to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation by overseeing key participants in the securities markets, including SROs, securities broker-dealers, investment advisers, and mutual funds.

Product Details

ISBN-13:
9781492104704
Publisher:
CreateSpace Publishing
Publication date:
08/12/2013
Pages:
40
Product dimensions:
8.50(w) x 11.00(h) x 0.08(d)

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