Briefly describe how investment banking is regulated.

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Briefly describe how investment banking is regulated.

Aug 17th, 2015

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1.THEY ARE REGULATED BY SEC-
The powers of the SEC are an extension of those enumerated in Congressional legislation. Nearly every aspect of investment banking is regulated by the SEC. This includes licensing, compensation, reporting, filing, accounting, advertising, product offerings and fiduciary responsibilities.
2.CONGRESS REGULATING INVESTMENT BANKS-
Several other influential acts of Congress followed The Banking Act.This plays an important role in regulating investment banking.
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Aug 17th, 2015

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Aug 17th, 2015

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