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Articles Posted in Government Accountability Office

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GAO Claims SEC Oversight of FINRA is Insufficient; SRO Hearing is This Week

As a result of the Dodd-Frank Wall Street Reform and Consumer Protection Act, the Government Accountability Office (GAO), a non-partisan investigative agency of Congress, conducted a study which criticized the Securities and Exchange Commission’s (SEC) oversight of the Financial Industry Regulatory Authority (FINRA). The purpose of the study was to…

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