Responsibilities of a Securities Lawyer – Cityers
The federal government was able to determine the reasons for this crisis and concluded that the market had its own rules as well as providing incorrect disclosures to clients. The result was a law enforcement agency and code of conduct was created in order to establish an obligation on what disclosures needed to be included. The Securities and Exchange Commission is the enforcement agency. It regulates stock and memberships of companies when it has to transfer equity to another business….