Series 14: 1.5. Key Regulatory Bodies

Taken from our Series 14 Online Guide

1.5. Key Regulatory Bodies

The Securities and Exchange Commission (SEC) has primary responsibility for interpreting and enforcing federal securities laws. Compliance with federal law and the SEC’s rules and regulations was left to the securities organizations themselves, with SEC oversight. The securities exchanges, or self-regulatory organizations (SROs), devised their own set of rules within SEC constraints and monitored them for compliance. The SROs are charged wit

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