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Who regulates mutual funds?

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15th Nov 2009 by Joseph Pousada

In the United States the Security and Exchange commission is the agency who is responsible for regulating the securities industry. They have delegated certain functions to FINRA (Financial Industry Regulatory Authority) a Self Regulatory Organization (SRO). In addition, the Commodity Futures Trading Commission (CFTC) is the agency responsible for regulating the commodities futures industry. The CFTC has delegated certain functions to NFA (National Futures Association) a SRO. An investment company who invests in stocks and futures on those stocks would be subject to all the above regulatory authority in the United States.

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This answer is the subjective opinion of the writer and not of FinancialAdvisory.com



2nd Nov 2009 In Mutual Funds 1 Answers | 2292 Views

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