What is the role of regulatory agencies on Wall Street?
The role of regulatory agencies on Wall Street is to oversee and regulate financial institutions and markets to ensure that they operate in a fair, transparent, and stable manner. The primary regulatory agencies involved in overseeing Wall Street are the Securities and Exchange Commission (SEC), the Commodity Futures Trading Commission (CFTC), and the Financial Industry Regulatory Authority (FINRA).
The SEC is responsible for enforcing securities laws and regulating the securities industry, while the CFTC regulates the commodities futures and options markets. FINRA is a self-regulatory organization that oversees broker-dealers and helps to ensure that they comply with SEC rules and regulations.
The role of these agencies is to protect investors and maintain the integrity of the financial system by ensuring that financial institutions and markets operate in a fair and transparent manner. They do this by conducting investigations, imposing fines and penalties for violations of securities laws, and implementing new regulations as needed to address emerging risks and issues.
- What Are Some Of The Best Places To Enjoy Dutch Cheese In Amsterdam
- Can The Roborock S6 Pure Clean Corners
- How Can You Use Vegetables To Support Healthy Respiratory Function
- What Are The Major Events That Led To The Development Of Modern Space Exploration Systems
- What Is The Name Of The Largest Island In Europe And Where Is It Located
- What Are Some Of The Most Innovative Solutions To Combat Bacterial And Viral Infections
- Can You Grow Fruits And Vegetables Together In The Same Garden
- What Were The Most Memorable Celebrity Scandals Of The 1990s
- What 1973 Elton John Song Became His First No 1 Hit In The United States
- How Has The Turkish Community In Germany Been Affected By The Rise Of The Gig Economy