The SEC Requires Brokers and Dealers to Information About Securities

To Protect Consumers, The SEC Requires Brokers and Dealers to Information About Securities

To Protect Consumers, The SEC Requires Brokers and Dealers to Information About Securities

As the global economy continues to evolve, the securities market has become increasingly complex and intricate. This has given rise to the necessity for regulatory bodies to safeguard the interests of consumers. One such regulatory body, primarily in the United States, is the Securities and Exchange Commission (SEC). Established in 1934, the SEC has a primary responsibility to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. A significant part of this responsibility entails that brokers and dealers disclose pertinent information about securities to consumers. Importance of Disclosure Disclosure is an essential aspect of securities regulation. It…
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