the SEC
Tag Archive

  • The SEC and FINRA – Securities Industry Regulators


    November 1, 2017 Comments (0) Blog

    Regulatory Functions of the SEC and FINRA Obviously, the securities arena has rules and guidelines to follow. Have you ever asked yourself who regulates brokerage firms and the securities industry? Who writes the laws dealing with securities? Who actually punishes violators of the rules and guidelines? Many of these

    Read More »