Explore the pivotal roles of the SEC, FINRA, and FDIC in regulating the U.S. financial markets, ensuring investor protection, and maintaining market integrity.
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.
Explore the essential regulations governing derivative instruments, including the Dodd-Frank Act, and learn how they aim to enhance transparency and mitigate systemic risk in financial markets.