13.1 Regulatory Bodies and Framework
In this section
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Securities and Exchange Commission (SEC)
Explore the pivotal role of the Securities and Exchange Commission (SEC) in regulating U.S. securities markets, ensuring investor protection, and maintaining market integrity.
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Financial Industry Regulatory Authority (FINRA)
Explore the role of FINRA in regulating broker-dealers and ensuring fair securities markets. Understand its functions, rules, and impact on bond trading.
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Municipal Securities Rulemaking Board (MSRB)
Explore the role and functions of the Municipal Securities Rulemaking Board (MSRB) in regulating the U.S. municipal securities market, ensuring transparency, and protecting investors.
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