Donnell Nava
- Designer
- Maker
- Architect
Securities Act of 1933 & 1934: Focus on disclosure and regulation of securities markets. Investment Company Act of 1940: Governs mutual funds and investment companies. FINRA Rules: Such as suitability standards, fair dealing, and customer communication guidelines. Anti-Money Laundering (AML) Regulations: Know-Your-Customer (KYC) and suspicious activity reporting.
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