Regulatory Entities and Market Participants

Pair listening with reading

Follow along with
the written unit.

Listen at your own pace, then use the matching lesson to revisit the details. The written material includes:

• The Securities and Exchange Commission (SEC)
• Self-Regulatory Organizations (SROs)
• Other Regulators and Agencies
• Market Participants and Their Roles

Put this episode into practice with adaptive questions and flashcards in the full SIE course.