Bottom line the sec regulates securities markets and facilitates the formation of capital businesses and companies to grow. Its regulations help protect investors. Which can lead to increas confidence by financial market participants. This article was written by marcia wendorf profile picture marcia wendorf 276 followers marcia is a former high school math teacher. Technical writer. Author. And programmer. She stays on top of worldwide news about science. Government policies. Finance. Infrastructure. And mical issues. She is always “Sniffing the wind” for the latest trends and directions. And keeping her readers abreast of these developments. Show more analyst’s disclosure: I/we have no stock.
Which helps entrepreneurs start
Other regulatory organizations email list that work with the sec include: sipc: is a 50-year-old non-profit corporation that works to restore investors’ cash and securities msrb: the municipal securities rulemaking board is a regulatory body that creates rules for banks and investment firms that issue and sell municipal bonds. Notes. And other municipal securities. The msrb regulates the underwriting. Selling. And trading of municipal securities which are us to finance public projects. Department of justice: on june 22. 2020. The department of justice’s antitrust division sign an inter-agency memorandum of understanding (mou) to foster cooperation and communication between the doj and the sec.
When their brokerage firm fails
Which stands for the financial Phone Number HK industry regulatory authority is an independent. Self-regulatory organization that oversees more than 3.500 brokerage firms. 154.000 branch offices. And around 625.000 register securities professionals . Corporate bonds. And securities futures and options. Finra creates and administers professionals must pass. Including the series 7 general securities representative qualification examination and the series 3 national commodities futures examination. By comparison. that is task with protecting individual investors and maintaining the integrity of both formal and over-the-counter (otc) exchanges. Other regulatory organizations besides finra.
