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aev [14]
2 years ago
5

If the Security and Exchange Commission finds any irregularities in the dealings of a financial securities firm, it can send a c

omment letter and initiate ( )
proceedings.
Business
1 answer:
svet-max [94.6K]2 years ago
6 0

Answer:

Suspension proceedings.

Explanation:

SEC - the Securities and Exchange Commission - is the national body in charge of ensuring integrity and clarity in the financial securities market.

They regulate the activities of firms that sell these securities to members of the public.

If the Securities and Exchange Commission finds any irregularity (anomaly) in the dealings or operations of a financial securities firm, it can send a comment letter and initiate (begin) suspension or revocation proceedings against the firm.

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Explanation:

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What is the main advantage of using e-mail to complain about a service or product?
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What advice would you give to anyone who thinks they are going to be terminated from their employment?
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