SEC Chair Gensler Speaks on Emerging Trends in Asset Management
Reynolds Holding
MAY 23, 2023
That’s why they passed the Securities Exchange Act of 1934, which covered intermediaries such as exchanges and broker-dealers as well as established our agency to oversee the securities markets. 3] SEC Commissioner Robert Healy told Congress in 1940 that, left unchecked, these risks and conflicts had produced a “shocking” number of abuses. [4]
40 
Let's personalize your content