The securities exchange act of 1934 established "self regulatory organizations" (sros) and empowered these organizations to do all of the following
a. set guidelines for fair dealing with the public.
b. handle complaints against broker-dealers for securities law violations
c. take administrative action against broker-dealers that violate industry regulations.
d. establish courts of justice for aggrieved customers to settle disputes
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Business, 22.06.2019 06:40, lexhorton2002
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