Securities Markets

Securities Markets

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Reviews the oversight and disciplinary actions of the Securities and Exchange Commission (SEC) and several of the securities industry's self regulatory organizations (SRO) against unscrupulous brokers - individuals licensed to sell securities who have committed a significant breach of sales practice rules or have a history of repeated sales practice violations.For example, one broker, who was barred by an sro for 9 months in 1989 for misrepresentations made during an insider trading investigation, migrated to a related financial services company and worked as a mortgage consultant Another broker, ... of these industries, such as banking and securities, are subject to federal regulation, while others, such as insurance, ... termination, which are available only to see, sros, state regulators, Page 11 GAO/GGD-94-208 Unscrupulous Brokersanbsp;...

Title:Securities Markets
Author: DIANE Publishing Company
Publisher:DIANE Publishing - 1995-07

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