If the Security and Exchange Commission finds any irregularities in the dealings of a financial securities firm, it can send a comment letter and initiate ( )

proceedings.

Question

spencg8888 spencg8888

22-01-2021
Business

contestada

If the Security and Exchange Commission finds any irregularities in the dealings of a financial securities firm, it can send a comment letter and initiate ( )

proceedings.

Respuesta :

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Chimara Chimara · Answer 1 · 2021-01-25T05:15:04+01:00

Answer:

Suspension proceedings.

Explanation:

SEC - the Securities and Exchange Commission - is the national body in charge of ensuring integrity and clarity in the financial securities market.

They regulate the activities of firms that sell these securities to members of the public.

If the Securities and Exchange Commission finds any irregularity (anomaly) in the dealings or operations of a financial securities firm, it can send a comment letter and initiate (begin) suspension or revocation proceedings against the firm.

If the Security and Exchange Commission finds any irregularities in the dealings of a financial securities firm, it can send a comment letter and initiate ( ) proceedings.

Respuesta :

Otras preguntas

If the Security and Exchange Commission finds any irregularities in the dealings of a financial securities firm, it can send a comment letter and initiate ( )

proceedings.