Securities Market Regulation

The securities markets have a large body of securities regulations and securities laws. You have federal securities regulation, state securities regulation and self regulatory organizations (SROs) that include Financial Industry Regulatory Authority (FINRA) which is a combination of the NYSE and NASD regulation departments.

Securities Regulation =>

Federal Securities Regulation =>

State Securities Regulation =>

Self Regulatory Organizations (SROs) =>

History of Securities Law =>

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