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What role should government regulators have in the brokerage industry?

What role should government regulators have in the brokerage industry?

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Answer #1

There are many roles that the government regulators have in the brokerage industry:

1. The government regulators (SEC - securities and exchange commission in The US) have to monitor the rates of securities and packages that the brokerage industry is selling is correctly rated or not.

2. The government regulators save the interest of investors as it tries to stop the illegal activities of brokerage firms or industries.

3. The authority body that is monitoring the brokerage industries always tries to minimize the chances of fraud so that investors feel safe while investing in securities.

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