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August 1, 2014
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Blog, Securities Fraud
The Securities and Exchange Commission (SEC) is the primary governmental agency that oversees the securities industry. The mission of the SEC is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. However, they are not the only agencies who help protect investors,
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November 20, 2013
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Blog, Securities Fraud
Securities regulation is intended to protect all participates in the securities market. This includes investors as well as financial professionals, broker-dealers, businesses and the various securities markets. In addition to protection, regulators are designed to maintain market integrity and efficiency. The
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