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The Emergence Of On-line Tradi
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All the enthusiasm in the brokerage industry no longer centers on mutual funds as it did before internet became an everyday household word. Now, much attention surrounds on-line investing in the brokerage industry. On-line investing has only recently begun to expand at astronomical rates. As per ....
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....and regulations; investigating alleged violations of securities laws and the NASD's own rules; discipline [these violations]; and responding to inquiries and complaints from investors and members" (nasd.com). The jurisdiction of the NASDR is limited to the NASD members and their investors. The SEC handles matters outside the NASDR jurisdiction. The SEC is an independent quasijudicial regulatory agency that administers the federal securities laws. The two most important of these laws are the .... |
| Number of words: 4528 |
Approximate pages: 17 |
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