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Monday, March 20, 2017 6:06:51 PM
The SEC also oversees all of the stock exchanges and any organization connected with the selling of securities.
It also has a strong anti-fraud unit that monitors advertising and marketing to make sure companies comply with strict rules concerning the sale of securities.
At the next level is the Financial Industry Regulatory Authority (FINRA). It was created in 2007 when the National Association of Securities Dealers merged with the regulatory functions of the New York Stock Exchange.
This is an industry self-regulatory body that is responsible for policing the securities industry.
FINRA set standards for stockbrokers and other industry professionals and licenses them after comprehensive examinations.
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