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Understanding Securities Markets - GitHub Pages OTC Markets. Note that a “market” doesn’t have to be a physical location. In the over-the-counter (OTC) market Market in which securities are traded over computer networks and phones rather than on the trading floor of an exchange., securities are traded among dealers over computer networks or by phone rather than on the floor of an organized exchange. FINRA Executives | FINRA.org Immediately prior to joining FINRA, and before his service at the SEC, Mr. Cook was a partner at Cleary, Gottlieb, Steen & Hamilton, LLP, based in Washington, DC. His practice focused on the regulation of securities markets and market intermediaries, including securities firms, exchanges, alternative trading systems and clearing agencies. Money Market Funds and the New SEC Regulation -Liberty ...
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The U.S. Securities and Exchange Commission (SEC) is an independent agency of the United 1 Overview; 2 History; 3 Organizational structure The Trading and Markets division oversees self-regulatory organizations such as the as the International Organization of Securities Commissions and the Financial Stability 20 Aug 2015 The agency's organizational structure consists of five Divisions and 23 The Division of Trading and Markets oversees several major securities
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