Which Agency Provides Regulatory Oversight For Broker-Dealers? Are you curious about the regulatory oversight for broker-dealers in the financial markets? In this insightful video, we delve into the crucial role played by the Securities and Exchange Commission (SEC) in ensuring fair practices. Discover how the SEC registers broker-dealers, enforces compliance with federal laws, and oversees organizations like the Financial Industry Regulatory Authority (FINRA). Learn how FINRA monitors trading activities and enforces regulations to maintain market integrity. State regulatory agencies also play a role in overseeing broker-dealers, ensuring comprehensive compliance. Understanding these regulatory bodies is essential for investor protection and market stability. Stay informed and subscribe for more valuable insights on financial security and regulatory practices.
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