13th Nov 2009 by Mark P. Cussen, CFP, CMFC
There are several organizations that oversee the trading that goes on in the stock market. Each of the major stock exchanges, such as the NYSE, regulates the traders and specialists that work its floors. The Securities and Exchange Commission is the government agency that ultimately regulates all securities trading. FINRA replaced the NASD as the self-regulatory organization that policies the industry internally.
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