The stock market has many different regulators. The primary regulator is the Securities and Exchange Commission. The stock exchanges are governed by their own organizations, under the direction of the SEC. Stock brokers and brokerage firms are regulated by the Financial Industry Regulatory Authority (FINRA) which was formerly known as […]
Tag: Regulators
Regulating Regulators
The Courts act to protect the rights of the regulated By Mark J. Astarita Securities attorneys have often suffered the frustration of dealing with regulators who attempt to enforce rules which are unclear, and sometimes, unwritten. While the SEC, FINRA and the state securities authorities have broad powers to enforce […]
