TY  - JOUR
AB  - The examination of broker‐dealers is an integral part of the United States Securities and Exchange commission's overall responsibility to enforce securities laws, protect investors, and ensure the maintenance of fair and orderly markets. This programme continues to evolve to keep pace with dynamic market developments. This paper provides an overview of the broker‐dealer examination process, and discusses several new developments in the examination programme. Particular focus is directed to the oversight of internal controls and risk management, and review of sales practices and supervisory procedures. Finally, there is a discussion of efforts undertaken to coordinate examinations by various state, federal and self‐regulatory authorities.
VL  - 4
IS  - 4
SN  - 1358-1988
DO  - 10.1108/eb024897
UR  - https://doi.org/10.1108/eb024897
AU  - ANN GADZIALA MARY
PY  - 1996
Y1  - 1996/01/01
TI  - THE BROKER‐DEALER EXAMINATION PROGRAMME OF THE SEC
T2  - Journal of Financial Regulation and Compliance
PB  - MCB UP Ltd
SP  - 386
EP  - 394
Y2  - 2024/04/25
ER  -