Securities compliance is the adherence to the rules and regulations related to trading securities. The regulatory organizations who create and enforce these laws include: U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). These organizations work to ensure the safety and fairness of the financial markets. Their regulations protect investors as well as businesses. By following these federal securities laws, we make the financial system safer for everyone. Transparency, oversite, and documentation through licensed third party advisors is the cornerstone of the Dignity process.
