Question
What is the difference between the SEC and FINRA as regulators? Why do we give regulatory power to FINRA and not the ICI? Materials: The
What is the difference between the SEC and FINRA as regulators? Why do we give regulatory power to FINRA and not the ICI?
Materials: The Mutual Fund Business By Robert Pozen
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Quantitative Analysis For Management
Authors: Barry Render, Ralph M. Stair, Michael E. Hanna, Trevor S. Hale
14th Edition
0137943601, 9780137943609
