Over-the-counter (otc) trading practices in corporate securities are supervised by?

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25-08-2022
Business

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Over-the-counter (otc) trading practices in corporate securities are supervised by?

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shubhamsinha3013 shubhamsinha3013 · Answer 1 · 2022-09-07T16:35:30+02:00

Over-the-counter (otc) trading practices in corporate securities are supervised by SEC and FINRA.

Over-the-counter (OTC) trading is the practice of trading securities through a broker-dealer network rather than on a centralized exchange such as the New York Stock Exchange.

Over-the-counter trading can involve stocks, bonds, and derivatives, which are financial contracts whose value is determined by an underlying asset, such as a commodity.

When a company does not meet the requirements to list on a standard market exchange such as the NYSE, its securities can be traded over the counter (OTC), but they may still be subject to SEC regulation.

The Securities and Exchange Commission (SEC) is in charge of overseeing securities trading in the United States.

The authorized SRO for the OTC market is Financial Industry Regulatory Authority (FINRA).

The Securities Investors Protection Corporation (SIPC) is a member-sponsored nonprofit organization that protects customer assets in the event that a broker/dealer fails.

The Federal Open Market Committee (FOMC) directs the Fed's open market purchases and sales in order to implement monetary policy.

Hence, SEC and FINRA is the answer.

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