Browse Series 6 Exam Prep
2.6 Other Regulatory Entities
In this section
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Securities and Exchange Commission (SEC): Overview and Regulatory Role
Explore the SEC's pivotal role in enforcing securities laws, regulating markets, and protecting investors. Learn how the SEC oversees exchanges, broker-dealers, and investment advisers to maintain fair and efficient markets.
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NASAA (North American Securities Administrators Association)
Explore the pivotal role of NASAA in securities regulation, investor protection, and enforcement actions at the state level, essential for Series 6 Exam mastery.
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MSRB (Municipal Securities Rulemaking Board)
Explore the role and functions of the Municipal Securities Rulemaking Board (MSRB) in regulating the municipal securities market, including its rule-making authority for broker-dealers and banks, and the significance of the EMMA system for market transparency.
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