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Securities firms are subject to several forms of regulation. The SEC establishes general guidelines for trading...

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Finance

Securities firms are subject to several forms of regulation.The SEC establishes general guidelines for trading on securitiesexchanges. The SEC does not have criminal enforcement authority.The SEC enforces financial disclosure laws and insures thatinvestors have access to financial information. Regulation oftrading activities is governed by the trading exchanges. Securitiesfirms have been subject to very limited regulation in the use oftheir firms. Discuss whether securities firms should be moreclosely regulated.
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There are lots of Financial regulations needed to be followed by Securities firm The Securities and Exchange Commission is at the Center of federal financial regulations It maintains the standards that regulate the stock    See Answer
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