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Securities and Exchange Commission (view source)
Revision as of 19:06, July 13, 2016
, 19:06, July 13, 2016→top: clean up & uniformity
All investment banks, mutual fund, insurance companies, stockbrokers and investment advisers must be registered with the SEC and FINRA (Financial Industry Regulatory Authority, an SRO) in order to provide financial advisory services to both institutional (companies, government agencies, etc.) and individual (HNWIs, investors) clients.
All investment banks, mutual fund, insurance companies, stockbrokers and investment advisers must be registered with the SEC and FINRA (Financial Industry Regulatory Authority, an SRO) in order to provide financial advisory services to both institutional (companies, government agencies, etc.) and individual (HNWIs, investors) clients.
[[category: United States Government Agencies]]
[[Category:United States Government Agencies]]
[[Category: Finance]]
[[Category:Finance]]