Identify the major regulatory organizations that are involved with the daily operations of the investment securities industry,
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The primary regulator of the securities industry is the Securities and Exchange Commission SEC established in 1934 largely in response to abuses by securities firms that many at the time felt were par...View the full answer
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Related Book For 
Financial Markets and Institutions
ISBN: 978-0077861667
6th edition
Authors: Anthony Saunders, Marcia Cornett
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