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EastCoastCdn

08/28/12 7:48 PM

#23076 RE: arizuela #23075

So what was the end result?

Here is what investopedia says

To summarize, the SEC is responsible for ensuring fairness for the individual investor and Finra is responsible for overseeing virtually all U.S. stockbrokers and brokerage firms. In the grand scheme of things, FINRA is overseen by the SEC.



http://www.investopedia.com/ask/answers/112.asp#axzz24t3J6KJe