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Category :
Securities / SEC Law
Introduction :
Securities regulation in the United States is the field of U.S. law that covers various aspects of transactions and other dealings with securities. It includes both Federal and state level regulation by purely governmental regulatory agencies, most notably the Federal level United States Securities and Exchange Commission (SEC). There are also quasi-public 'self regulatory organizations' (SRO's) such as the Financial Industry Regulatory Authority (FINRA), which the National Association of Securities Dealers (NASD) has been merged into. Source: Wikipedia
