Browse The Essentials of Stock Market Investing
- 23. Glossary of Key Terms
- 25. Bibliography and Recommended Reading
13.2 Key Regulatory Bodies
In this section
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Securities and Exchange Commission (SEC): Oversight and Investor Protection
Explore the pivotal role of the Securities and Exchange Commission (SEC) in regulating U.S. securities markets, enforcing laws, and protecting investors. Learn about its functions, enforcement actions, and the importance of compliance in the securities industry.
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Financial Industry Regulatory Authority (FINRA) Overview
Explore the role of FINRA in regulating broker-dealers, enforcing ethical conduct, and providing investor resources. Learn how FINRA's oversight ensures compliance with industry standards and protects investors.
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