Government regulation is one component of the profession's regulatory framework. Required a. Identify the regulatory organizations involved
Question:
Government regulation is one component of the profession's regulatory framework.
Required
a. Identify the regulatory organizations involved in government regulation and indicate the primary activities of each.
b. What link exists between the profession's self-regulation activities and the SEC?
c. What impact has the U.S. Congress had on the self-regulation and government regulation components of the profession's regulatory framework?
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a Regulatory Organizations Involved in Government Regulation Securities and Exchange Commission SEC Primary Activities The SEC is the primary federal regulatory agency responsible for enforcing securi...View the full answer
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