Strengthening Oversight: SEC's Regulation of FINRA
GAO Report, Securities and Exchange Commission Office Manager GAO Report, Securities and Exchange Commission Office Manager

Strengthening Oversight: SEC's Regulation of FINRA

The SEC’s recent inspections of FINRA focus on enhancing oversight of the securities industry, highlighting the importance of risk-based assessments, improved performance measures, and transparency in governance. The SEC's adaptive approach ensures robust oversight aligned with investor protection and market integrity.

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