Series 26: Chapter Three: General Supervision And Public Communications

Taken from our Series 26 Online Guide

Chapter Three

General Supervision and Public Communications

The Securities Exchange Act of 1934 gave securities exchanges, such as the New York Stock Exchange, the authority to regulate themselves, under the condition that the exchanges register with the SEC and devise a set of rules consistent with the guidelines established by the Act. Self-regulation was extended to the over-the-counter (OTC) market a few years l

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