Security Regulation: Opportunities Exist to Improve SEC's Oversight of the Financial Industry Regulatory Authority |
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Author:
| US Government Accountability Office, |
ISBN: | 978-1-4921-0470-4 |
Publication Date: | Aug 2013 |
Publisher: | CreateSpace Independent Publishing Platform
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Book Format: | Paperback |
List Price: | USD $15.99 |
Book Description:
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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.
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.