Legal Issues It is illegal for firms selling bonds to mislead or defraud investors. Investment firms have

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Legal Issues It is illegal for firms selling bonds to mislead or defraud investors. Investment firms have an obligation to inform their clients about the risks associated with the bonds. The Financial Industry Regulatory Authority (FINRA) is the largest nongovernmental agency that regulates bonds (and stocks). Use the Internet to learn more about FINRA. How does it help enforce federal securities laws and protect investors?

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Managing Your Personal Finances

ISBN: 9781305076815

7th Edition

Authors: Joan S. Ryan, Christie Ryan

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