Security Regulation: Opportunities Exist to Improve SEC's Oversight of the Financial Industry Regulatory Authority |
|
| Author:
| US Government Accountability Office, |
| ISBN: | 978-1-4921-0470-4 |
| 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.
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.