Security Regulation: Opportunities Exist to Improve SEC's Oversight of the Financial Industry Regulatory Authority
||US Government Accountability Office, |
|Publication Date:||Aug 2013|
| Publisher:||CreateSpace Independent Publishing Platform|
| Book Format:||Paperback|
|List Price:||USD $15.99|
| Book Description: |
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.