Regulatory Bodies and Market Framework

In this section

• Securities and Exchange Commission (SEC)
  Understand the SEC’s role in regulating securities offerings, disclosure, and market conduct.
• Financial Industry Regulatory Authority (FINRA)
  Review FINRA’s supervisory, conduct, and market oversight role in broker-dealer activity.
• Municipal Securities Rulemaking Board (MSRB)
  Learn how the MSRB sets rules and standards for municipal securities professionals and markets.