SEC budgets are complex because they are not the only ones regulating and much of their work can be done by the self regulators-who should be required to spend more money for more staff and technology.The states could also do more but there is a continuing turf battle that hides the necessary budgets.Why does the SEC have to do any bd cases when FINRA can do them?
SEC budgets are complex because they are not the only ones regulating and much of their work can be done by the self regulators-who should be required to spend more money for more staff and technology.The states could also do more but there is a continuing turf battle that hides the necessary budgets.Why does the SEC have to do any bd cases when FINRA can do them?